• Compliance Testing Officer

    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
    Citigroup (11/21/24)
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  • Compliance Testing Officer

    Citigroup (Jersey City, NJ)
    Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM) testing team responsible for assessing compliance risks and ... + Participating in the planning, executing, and reporting of compliance testing reviews and regulatory issue validation...middle and back office Operations activities within the Global Markets business, in accordance with the Compliance more
    Citigroup (10/31/24)
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  • Senior Manager, Markets Compliance

    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
    Scotiabank (11/28/24)
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  • Compliance Risk Assessment Officer

    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
    SMBC (12/13/24)
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  • Citi Commercial Bank - Institutional Credit…

    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
    Citigroup (10/25/24)
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  • Broker/Dealer Compliance Officer

    Siebert Williams Shank (New York, NY)
    …and experienced compliance professional to the team led by the Chief Compliance Officer . The selected candidates will be responsible for supporting the ... firm's overall compliance program including developing policies and procedures, communicating all...& trading, public & corporate finance groups, and training, testing and assessments. In addition, the selected candidates will… more
    Siebert Williams Shank (10/04/24)
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  • Compliance Officer S&P Global DJI

    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
    S&P Global (11/30/24)
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  • Executive Director, Head of Functions Control…

    SMBC (New York, NY)
    …supports interaction between the Functions and 2nd LoD, including Risk Management and Compliance . Head of Functions Control Officer oversees each Functional area ... clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's...the current compensation paid in their geography and the market for similar roles at the time of hire.… more
    SMBC (12/04/24)
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  • Business Information Security Officer

    S&P Global (New York, NY)
    …We are looking for a pro-active and forward-thinking Business Information Security Officer that is well versed in information security management principles and ... driving security practices within the business unit. As the Business Information Security Officer , you will be the Cyber Security & Assurance primary point of… more
    S&P Global (12/16/24)
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  • Data Privacy Officer - Counsel - US…

    Sanofi Group (Morristown, NJ)
    **Job: Data Privacy Officer - Counsel - US Specialty Care** **Location: Cambridge, MA** Ready to push the limits of what's possible? Join Sanofi in one of our ... impact on millions around the world. As Data Privacy Officer - Counsel - US Specialty Care at Sanofi,...strategies, breach notification and data loss prevention process, ensure compliance with global and US privacy/AI laws, provide data… more
    Sanofi Group (09/29/24)
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  • Client Onboarding & Due Diligence (COBDD) Chief…

    Morgan Stanley (New York, NY)
    …. Lead in process improvement, project management or technology development and testing across multiple teams and/or divisions . Analyze and expose ambiguous, ... Morgan Stanley infrastructure departments, and external contact points in Client or Market organizations . Maintain the financial health of the organization while… more
    Morgan Stanley (11/23/24)
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  • Model/Anlys/Valid Officer

    Citigroup (New York, NY)
    …Use parallel computing techniques to perform models back testing , stress testing , and profit attribution analysis. Support compliance efforts in response to ... Citibank, NA seeks a Model/Analysis/Validation Officer for its New York, New York location....for its New York, New York location. Duties: Support market risk modeling and analytics projects for Fundamental Review… more
    Citigroup (12/11/24)
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  • Credit Officer , Securitization Associate

    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
    SMBC (10/11/24)
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  • Senior Business Control Manager - Capital…

    City National Bank (New York, NY)
    *SENIOR BUSINESS CONTROL MANAGER - CAPITAL MARKETS * WHAT IS THE OPPORTUNITY? The Senior Business Control Manager will report into the Business Control Officer of ... in the team that will design, maintain, implement, manage and enhance the capital markets first line risk program for four separate line verticals (FX, Interest Rate… more
    City National Bank (12/10/24)
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  • Compliance Advisor Senior Manager

    Capital One (New York, NY)
    …Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer . This role will support three institutional FINRA registered ... broker dealers and provide compliance support to the Capital Markets line...Senior Manager will work independently from the CBD Chief Compliance Officer to interact with and advise… more
    Capital One (11/29/24)
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  • Compliance Advisor - Institutional Services

    M&T Bank (New York, NY)
    … Advisor must understand when situations warrant escalation to the M&T Bank Chief Compliance Officer , Legal, or when other consultation is needed. The ... This Senior Vice President level role provides guidance on complex compliance risk management activities within the Institutional Client Services department of… more
    M&T Bank (12/13/24)
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  • Compliance & Operational Risk Specialist

    Bank of America (Jersey City, NJ)
    …a difference. Join us! **Job Description:** This job is responsible for assisting the Compliance and Operational Risk officer team to execute second line of ... and maintains a comprehensive regulatory inventory **Skills:** + Monitoring, Surveillance, and Testing + Process Management + Regulatory Compliance + Reporting +… more
    Bank of America (10/31/24)
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  • Director, 1940 Act Compliance

    BlackRock (New York, NY)
    …a senior member of the 1940 Act Compliance team reporting to the Chief Compliance Officer . The individual will be focused on supporting all aspects of the ... efficient indexing strategies designed to gain broad exposure to the world's capital markets . Our clients can access our investment solutions through a variety of… more
    BlackRock (11/21/24)
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  • Senior Regulatory Compliance Analyst

    Wellington (New York, NY)
    …of the Legal, Compliance and Risk Group and will report to the Chief Compliance Officer , Americas/Global Head of Funds Compliance , and work closely with ... that span nearly all segments of the global capital markets . Our investment solutions, tailored to the unique return...of our clients. **About the Role** The Senior Regulatory Compliance Analyst will support Wellington Management's compliance more
    Wellington (12/12/24)
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  • Director, Federal Compliance

    Ankura (New York, NY)
    …risk assessments, policies, procedures, internal controls, and systems processes; + Prepare compliance reports for Compliance Officer , Senior Management, ... lead generation. + Conduct independent regulatory program reviews and Testing ; + Drafting BSA/AML compliance programs and...role. This compensation range is specific to the said markets and takes into account a broad range of… more
    Ankura (12/03/24)
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