- 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, ... these growth initiatives and implementing enhancements where necessary. The Compliance Officer will be a member of...and will report to the Head of Investment Platform Compliance , Americas , working closely with other … more
- HSBC (New York, NY)
- … Policy by escalating any identified compliance risk in liaison with Global Compliance Officer , Area Compliance Officer or Local Compliance ... holder will lead, shape and steward the US and Americas performance. Delivering a cohesive and effective strategic overview...drivers that move these across all asset classes In compliance with applicable laws, HSBC is committed to employing… more
- HSBC (New York, NY)
- **Description** **Regional COO Markets Treasury Americas , HSBC Bank USA NA, New York, NY:** The Regional Markets Treasure (MKTY) Chief Operating Officer (COO) is ... would like to apply to this position, please click the 'Apply' button.** **_In compliance with applicable laws, HSBC is committed to employing only those who are… 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 ... and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US,...Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… 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 ... and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US,...the compliance program for an investment advisory firm in Manhattan,… 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 ... will create and maintain a Compliance Policies and Procedures for all Americas ... compliance advisor for each regulated entity. The Compliance Officer Policies and Procedures will also… 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 ... bridge to this key global market for trade and investment flows across the Americas and the world. Global Banking & Markets provides a full range of investment… more
- SMBC (New York, NY)
- …trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, ... extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko...rule, and be able to implement, and manage SMBC's compliance program for the Volcker Rule. On a day-to-day… 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 ... Manage US Marex Solutions Business Line management relationships. + Collaborate to ensure Americas Compliance Calendar deadlines are achieved. + Create or assist… more
- SMBC (New York, NY)
- …trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, ... extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko...Description** SMBC is seeking a Director / Senior Credit Officer to cover Energy Corporates in North America. +… more
- SMBC (New York, NY)
- …trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, ... organization's extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America,… more
- SMBC (New York, NY)
- …trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, ... organization's extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America,… more
- Morgan Stanley (New York, NY)
- …line of defense business risk department. *The VP US Banks First Line Risk Officer will be responsible for the following: * *Key Responsibilities: * - Execution of ... in financial services industry; preferably in risk management, finance, compliance , or audit. *Bachelor's degree in finance, Accounting, Economics (Preferred)… more
- SMBC (New York, NY)
- …trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, ... extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko...check accuracy of work of the underwriting analyst and compliance to UW guidelines and standards and RACS, meet… more
- MUFG (New York, NY)
- …more details. In this role you will focus on internal and external compliance requirements, activities, and deliverables to ensure that Operations & Technology meets ... a member of the Operations and Technology for the Americas (OTA) Risk & Controls Office (RCO), is a...equivalent or related field + Familiarity with US regulatory, compliance , and governance with a focus on banking and… more
- Mizuho Corporate Bank (New York, NY)
- About The teamWithin the Compliance Department, the Financial Crime Compliance Advisory Group (FCC Advisory) is dedicated to being a trusted and proactive ... to FCC initiatives, and leads training and awareness programs to promote compliance culture. Additionally, the team is committed to continuous improvement, regularly… more
- SMBC (New York, NY)
- …execution of tasks to support senior management within the Americas Division Compliance Department (ie, Compliance Administrative Officer and Chief ... Objectives** + Assist with the management and oversight of the Americas Division Compliance Department (CPAD). + Provide broad support to the Compliance… more
- SMBC (New York, NY)
- …for overseeing and monitoring the firm's compliance risk. The Associate Advisory Compliance Officer role supports the CPAD Bank Advisory team in building and ... Compliance Department as a key contributor to the Compliance advisory function of the Americas Division. This position will work directly with the Advisory… more
- Scotiabank (New York, NY)
- …are executed in support of the team's business strategies and objectives. Serves as Compliance Officer within Bank Regulatory Compliance of the US operation ... Senior Manager, Head of Volcker Compliance **Requisition ID:** 206763 **Salary Range:** 110,700.00 -...global market for trade and investment flows across the Americas and the world. Global Banking & Markets provides… 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 ... and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US,...portfolio of benefits to its employees. **Role Description** The Compliance group within SMBC Nikko Securities Inc. serves as… more