- 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 (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;Dallas, Texas; New York, New York; Houston, Texas **Job ... evaluation of Problem Assets, some limit approval authority and reporting of capital markets credit risk. The Credit Officer will primarily interface with 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
- 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
- Amalgamated Bank (New York, NY)
- Amalgamated Bank is seeking a Compliance Officer to assist the Consumer Compliance Officers to ensure the Bank's loan, deposit products and services maintain ... relative to lending, deposit, and loan servicing regulations. + Collaborate with Chief Compliance Officer in executing the Bank's Compliance Management… 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
- 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
- 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
- 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
- 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
- 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 (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
- City National Bank (New York, NY)
- **CREDIT RISK OFFICER QA/QC FIRST LINE OF DEFENSE** **WHAT IS THE OPPORTUNITY?** Provides comprehensive credit risk assessment of an assigned portfolio's credit ... on the credit portfolio. Performs ongoing credit risk monitoring and credit testing /reviews to ascertain the assigned Line of Business's ("LOB") management of credit… more
- Bank of America (New York, NY)
- Credit Risk Officer - Corporate/Commercial San Francisco, California;New York, New York **Job Description:** At Bank of America, we are guided by a common purpose to ... and counterparts. Key responsibilities include focusing on but not limited to credit, market , and reputational risk; as well as adherence or monitoring of credit… 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
- 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
- Wells Fargo (Iselin, NJ)
- …are accountable for execution of all applicable risk programs (Credit, Market , Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... Apply today. **About this role:** Wells Fargo is seeking a Lead Control Management Officer to join its Cloud Control Management team. This First Line of Defense team… more