- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing compliance risks and ... reported issues. Key Activities include: + Developing, implementing, and executing compliance testing , continuous assurance, and reporting programs within an… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance testing officer for Independent Compliance Risk Management (ICRM)'s Independent Assessment team responsible for assessing ... to address reported issues. Key Activities include: + Developing, implementing, and executing compliance testing and reporting programs in accordance with the … more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... in an inclusive and high-performing culture. **Global Banking and Markets ** Global Banking and Markets (GBM) is...issues and execute action plans for Internal Audit and Compliance Testing findings assigned to Compliance… more
- Bank of America (New York, NY)
- Vice President - Global Markets Credit Commodities Credit Officer Charlotte, North Carolina;New York, New York **Job Description:** At Bank of America, we are ... of Problem Assets, some limit approval authority and reporting of capital markets credit risk. The Counterparty Credit Risk Specialist will primarily interface with… more
- Bloomberg (New York, NY)
- …the Global Head of Risk and Compliance Shared Services, the global Chief Compliance Officer , and the global Chief Risk Officer , and Bloomberg's business ... work with our Risk and Compliance Shared Services team. As a Risk Assurance Officer on our Risk and Compliance Shared Services team, you will work with Risk… more
- CIBC (New York, NY)
- …based in Toronto, Ontario, Canada. **What You'll Be Doing** The PWM Chief Compliance Officer ("CCO") is responsible for developing, implementing, and maintaining ... rules and regulations; + **Working** with the US Chief Compliance Officer and the Director of US...contact for any US PWM internal audits and US Compliance Testing Team reviews of the … more
- Wellington (New York, NY)
- …aligns our perspectives with those of our clients. **About the Role** The Compliance Officer will support Wellington Management's compliance program, ... that span nearly all segments of the global capital markets . Our investment solutions, tailored to the unique return...these growth initiatives and implementing enhancements where necessary. The Compliance Officer will be a member of… more
- Wellington (New York, NY)
- …Therefore, a key responsibility of the role is to work with the Chief Compliance Officer to build-out, manage and execute the compliance infrastructure ... Group and will report to the Private Investments Chief Compliance Officer , working closely with other ...Coordinate enhancements to supervisory processes, internal controls and internal testing + Collaborate with EMEA and APAC compliance… more
- SMBC (New York, NY)
- …to its employees. **Role Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of ... rules, regulations, and procedures. + Develop and execute monitoring and testing of business activities, including the annual compliance program review,… more
- Tradeweb (New York, NY)
- …functions including implementation of written supervisory procedures, policies, training, annual testing , transaction monitoring and AML compliance + Manage the ... electronic trading. Tradeweb Markets LLC ("Tradeweb") is proud to be an EEO Minorities/Females/Protected Veterans/Disabled/Affirmative Action Employer. https://www.dol.gov/ofccp/regs/ compliance… more
- Citigroup (Jersey City, NJ)
- Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for reviewing transactions ... inquiries and internal and external investigations, as well as testing and audit. + Designing and lead compliance...regulations, risks and typologies; + Experience working in Capital Markets or other Investment Banking roles with experience on… more
- SMBC (Jersey City, NJ)
- …deposits) is a strong plus (but not required). + Experience in a Compliance Testing or Audit role focused on banking products/services (lending, deposits) ... clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's...of the CRA are utilized to drive monitoring and testing activities and to prioritize Compliance and… more
- Citigroup (New York, NY)
- …Credit Management Counterparty Credit Risk - Funds Underwriting Credit Officer , Asset Management Companies, VP** **Description** Citi's Commercial Bank (CCB) ... the ICM CCR Funds UW Team and will based in NYC. The Funds UW Credit Officer facilitates the end-to-end lending process and is essential for the delivery of a wide… more
- S&P Global (New York, NY)
- …**Grade Level (for internal use):** 12 **About the Role:** S&P Global is seeking a Compliance Director to join our Compliance Team for the S&P Global Dow Jones ... Indices (SPDJI) division. As a Compliance Director, you'll play a pivotal role in our global compliance team, ensuring that our Compliance Program for the… more
- Citizens (New York, NY)
- …Senior Credit Offer to cover the New York Metro Region for the Middle Market organization. This role is a highly visible leadership role requiring strong risk ... analyzing, and structuring, and decisioning transactions in a growth oriented Middle Market Division aligned with the strategic goals and initiatives of the… more
- Wells Fargo (New York, NY)
- …program requirements. This position will support Electronic Trading (E-Trading) across Capital Markets . The E-Trading Business Control Officer will be an ... They are responsible for execution of applicable risk programs (Credit, Market , Financial Crimes, Operational, Regulatory Compliance ), which includes effectively… more
- SMBC (New York, NY)
- …and municipal clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's operating companies in ... Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing...the current compensation paid in their geography and the market for similar roles at the time of hire.… more
- Bank of America (New York, NY)
- Credit Risk Officer -Corp/Comm Charlotte, North Carolina;New York, New York; North Bethesda, Maryland **Job Description:** At Bank of America, we are guided by a ... responsibilities include focusing on but not limited to credit, market , and reputational risk; as well as adherence or...the bank's defined risk appetite, using knowledge of stress testing and its applicability to credit risk + Supports… more
- Bank of America (New York, NY)
- Compliance & Operational Risk Manager- Global Markets & Fixed Income New York, New York **Job Description:** At Bank of America, we are guided by a common ... team work. **Skills:** + Advisory + Monitoring, Surveillance, and Testing + Regulatory Compliance + Reporting +...market misconduct. * Work closely with other regional Compliance and Operational Risk teams to ensure consistency in… more
- New York State Civil Service (New York, NY)
- …Authority of the State of New York Title Chief Information Security Officer Occupational Category IT Engineering, Sciences Salary Grade NS Bargaining Unit M/C ... Demonstrated ability in disaster recovery and business recovery planning and testing .* Demonstrated ability to identify and suggest ways to minimize business… more