- City of New York (New York, NY)
- …and external audit, financial reporting and programmatic fiscal processes to serve as Chief Compliance Officer . The selected candidate for this position ... matters related to fiscal oversight or of agency-wide significance, the Chief Compliance Officer duties and responsibilities will include but not… more
- City of New York (New York, NY)
- …for tenants and building owners. Job Description: Reporting to the First Deputy Commissioner, the Chief Compliance Officer (CCO) will lead the Office of ... agency, helping program areas manage compliance autonomously. The Chief Compliance Officer 's responsibilities will include: - Supervise, track, monitor,… more
- YAI (Manhattan, NY)
- …and engages with other members of the senior leadership team including the Chief Program Officer , Chief Compliance Officer , and Chief Human ... strategy, program, and service delivery needs. + Report to YAI's Ch ief Executive Officer and Boards for YAI and it affiliates on YAI's financial position and… more
- Arena Investors LP (New York, NY)
- …function overseeing Arena's principal lines of business. The CRO will partner with our Chief Compliance Officer (CCO) and our operating Business Leaders to ... areas where conventional sources of capital are scarce. We are seeking a Chief Risk Officer (CRO) to join Arena. The newly created role will create a… more
- Mastercard (Harrison, NY)
- …In particular, the role holder will: 1 - Reports and works closely with the MTS Chief Compliance Officer to determine the effectiveness of the Compliance ... realize their greatest potential._ **Title and Summary** VP, Legal Compliance , Bank Secrecy Act Officer Overview MTS US is the authorised and regulated entity… more
- City of New York (New York, NY)
- …standards, and education programs for tenants and building owners. Your Team: Reporting to the Chief Compliance Officer , the Lead Compliance Officer , ... state, and city), regulatory requirements, policies, and procedures. The Lead Compliance Officer may have the opportunity to help strengthen the office and… more
- Bloomberg (New York, NY)
- …for escalation and highlight areas of focus for our stakeholders (including our Chief Compliance Officer and Executive Management). The successful candidate ... Senior Compliance Officer - Management Information (MI) AND Governance Reporting Lead - Legal & Compliance Bloomberg's Legal & Compliance Department… more
- SMBC (New York, NY)
- …the management of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various ... Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or process with a large… more
- SMBC (New York, NY)
- …the management of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various ... Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or process with a large… more
- Siebert Williams Shank (New York, NY)
- …curious 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...risk management, provide advice on and oversight of SWS's compliance with US securities laws and regulations through critical… more
- City of New York (New York, NY)
- …as needed to manage and direct program's responses to audits. Provides reports on accountability/ compliance to the Chief Program Officer and the senior ... FOR 6.1.9 TITLE CHANGE. The HRA Office of the Chief Program Officer (OCPO) oversees three major...compliance with the legal process. - Represent the Chief Program Officer , as necessary or directed,… more
- 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 ... The Compliance Advisor Senior Manager will work independently from the CBD Chief Compliance Officer to interact with and advise the CBD LOBs on the… more
- CIBC (New York, NY)
- …and internal policies. The Senior Compliance Officer reports to the Deputy Chief Compliance Officer (CCO) and supports US Compliance mandate to ... innovative and relationship-oriented bank for a modern world. The Senior Compliance Officer will support CIBC Bank USA and CIBC Inc. (collectively "Bank")… more
- City of New York (New York, NY)
- …agency. Your Role The CRM Administrative Coordinator will provide direct support to the Chief Compliance Officer (CCO), CRM Executive Office, and the various ... a key support role for the new Office of Compliance & Risk Management (CRM). This Office is centralizing...HPD and external groups - Work with the CRM Chief of Staff to manage the CCO's calendar and… more
- City National Bank (New York, NY)
- …Complex. Coordinate with all relevant business units (CNR Fund Administration and CNR Fund Chief Compliance Officer in particular), all third party vendors ... and/or intermediaries to complete all audits and reviews. * Coordinate with Wealth Management Chief Compliance Officer and CNR Chief Compliance … more
- TD Bank (New York, NY)
- …in routine monitoring plan meetings. The Senior Compliance Group Manager supports the Chief Compliance Officer (CCO) in ensuring the Bank's compliance ... provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** The US Compliance Regulatory… more
- M&T Bank (New York, NY)
- …Compliance Advisor must understand when situations warrant escalation to the M&T Bank Chief Compliance Officer , Legal, or when other consultation is ... This Senior Vice President level role provides guidance on complex compliance risk management activities within the Institutional Client Services department of… more
- Wellington (New York, NY)
- …a member of the Legal, Compliance and Risk Group and will report to the Chief Compliance Officer , Americas/Global Head of Funds Compliance , and work ... with those of our clients. **About the Role** The Senior Regulatory Compliance Analyst will support Wellington Management's compliance program, focusing… more
- SMBC (New York, NY)
- …the management of the broker dealer's compliance risk and is represented by the Chief Compliance Officer as either a member or observer of various ... a competitive portfolio of benefits to its employees. **Role Description** The Compliance group within SMBC Nikko Securities Inc. serves as a regulatory advisory… more
- Cushman & Wakefield (New York, NY)
- … topics and issues. LATAM experience is required. This position reports to the Chief Ethics & Compliance Officer . **Job Description** **Responsibilities:** + ... **Job Title** Director | Americas Compliance **Job Description Summary** The Americas Regional ... Compliance **Job Description Summary** The Americas Regional Compliance Director will join a developing, dynamic, and talented… more