- Family and Children's Association (Mineola, NY)
- Compliance Officer The Opportunity FCA is excited to announce an opportunity for the position of Compliance Officer . As we continue to grow and evolve, ... review and evaluate compliance issues/concerns within FCA. The ideal Compliance Officer will ensure FCA complies with the rules and regulations of regulatory… more
- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Compliance Officer - Policies and Procedures of ... by the compliance advisor for each regulated entity. The Compliance Officer Policies and Procedures will also maintain the Written Supervisory Procedures for… more
- Robert Half Legal (New York, NY)
- …excellent PTO and sick time are also offered. Requirements * Proven experience as a Compliance Officer or similar role within the non-profit sector for a minimum ... and assisting with projects of the Assistant Vice President, Compliance Liaison & Privacy Officer and attorneys...Assistant Vice President, Compliance Liaison & Privacy Officer and attorneys responsible for our pension, health, and… more
- Akumin (New York, NY)
- …and its subsidiaries and affiliates. Reporting to General Counsel, the Chief Compliance Officer is responsible for all aspects of development, implementation, ... Privacy Compliance (CHPC), Certified Fraud Examiner (CFE), Certified Professional Compliance Officer (CPCO), or Certified Professional Coder (CPC) **Physical… 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, ... against these growth initiatives and implementing enhancements where necessary. The Compliance Officer will be a member of the Legal, Compliance … more
- City of New York (New York, NY)
- …add staff to fulfill critical functions. Position Summary The Assistant General Counsel and Compliance Officer reports directly to the General Counsel and is a ... Trust's legal and compliance department. The Assistant General Counsel and Compliance Officer will assist in managing the Trust's legal matters, focusing on … more
- City of New York (New York, NY)
- …external audit, financial reporting and programmatic fiscal processes to serve as Chief Compliance Officer . The selected candidate for this position will use an ... matters related to fiscal oversight or of agency-wide significance, the Chief Compliance Officer duties and responsibilities will include but not be limited to:… 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 ... to lending, deposit, and loan servicing regulations. + Collaborate with Chief Compliance Officer in executing the Bank's Compliance Management System. +… more
- SMBC (New York, NY)
- …of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or process with a large… more
- Neuberger Berman (New York, NY)
- Chief Compliance Officer for over $55 billion complex of funds registered under the Investment Company Act of 1940, covering multiple asset classes and ... least five years' experience in role of senior lawyer with compliance responsibilities, or senior compliance officer (or CCO) for registered funds + Strong… 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 ... state of Delaware rules and regulations; + **Working** with the US Chief Compliance Officer and the Director of US Compliance Programs to develop, implement… more
- Tradeweb (New York, NY)
- Tradeweb Compliance is looking for a junior to mid-level compliance officer to support our core compliance functions across our regulated entities ... This role will have a reporting line to a supportive and experienced compliance officer based in New York. You will have a high-level understanding of regulation… more
- Bloomberg (New York, NY)
- …and correspond with regulators. We are seeking a Trade / Export Control Compliance Officer who is adept in US export control regulations specifically ... import / export compliance across the various Bloomberg businesses. The Compliance Officer will maintain compliance with applicable customs / export and… 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 ... Enterprise Risk Group and will report to the Private Investments Chief Compliance Officer , working closely with other compliance professionals and attorneys.… more
- Institute of Electrical and Electronics Engineers (New York, NY)
- Temporary Executive Assistant to the General Counsel and Chief Compliance Officer - 240171 : N/A Description Job Summary: This temporary position supports the ... General Counsel and Chief Compliance Officer , its Managing Counsels and the Legal and Compliance Department through a variety of tasks that require careful… more
- Motion Recruitment Partners (New York, NY)
- Privacy Compliance Officer New York, NY **Hybrid** Contract $64.08/hr - $70/hr Our client is looking for full-time Privacy Compliance Officer . This role ... global privacy initiatives, interacting on a regular basis with Legal & Compliance , Information Security, Technology, Business, and Internal Audit groups as well as… more
- Citigroup (New York, NY)
- Serves as a senior Research, Marketing, and Content Compliance Officer for Independent Compliance Risk Management (ICRM) responsible for establishing ... with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating… more
- Marex (New York, NY)
- …(http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Executive Compliance Officer - Solutions Advisory position will ... activities. This role also involves overseeing trading activities and ensuring compliance with various regulatory reporting requirements. The position will primarily… 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 ... support of the Bank's business strategies and objectives. Provide advice on compliance with governing regulations and Bank internal policies and procedures. **What… 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 ... the compliance program for an investment advisory firm in Manhattan,...near future. The CCO will foster a culture of compliance and ensure local regulatory compliance requirements… more