- Argo AI (New York, NY)
- …overall strategy. Comply with all statutory laws, regulations and protocols. Ensure compliance with all reinsurance treaties. Manage and control facultative ... Rockwood's service model. Manage and integrate the Underwriting and Loss Control teams. Delegate underwriting authority as appropriate. Operate within established… more
- Citigroup (Jersey City, NJ)
- …audit, external audit and regulatory requests. **Job Family Group:** Compliance and Control **Job Family:** Business Control **Time Type:** Full time ... Serves as a compliance risk officer for Surveillance Intelligence...applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control… more
- Bloomberg (New York, NY)
- …rules and regulations, and correspond with regulators. We are seeking a Trade / Export Control Compliance Officer who is adept in US export control ... compliance across the various Bloomberg businesses. The Compliance Officer will maintain compliance ...entities globally. **We'll Trust You To:** + Lead Trade Compliance Program regarding export control restrictions as… more
- SMBC (New York, NY)
- …portfolio of benefits to its employees. **Job Summary** The AD Operations Function Control Officer (FCO) is a leader, change agent, and risk management ... will report to the Americas Division Head of Functions Control Officer with an indirect reporting line...in the development of policies and procedures to enhance control environment 8. Provides business units with… more
- Wells Fargo (New York, NY)
- … at wellsfargojobs.com **About this role:** Wells Fargo is seeking a Lead Control Management Officer to join our Wealth and Investment Management (WIM) ... practiced in Control Management functional area + Monitor moderately complex business specific programs, and provide risk management consulting to support the … more
- Wells Fargo (New York, NY)
- …invest in you. Apply today. **About this role:** Wells Fargo is seeking a Lead Control Management Officer to join our Evidence Based Control Evaluation ... program decisions will impact capacity needs, and working with business leads to manage control volumes and...business unit's risk appetite and all risk and compliance program requirements. Candidates applying to job openings posted… more
- Citigroup (New York, NY)
- …for leading and managing business execution activities, supporting the Chief Compliance Officer and the Senior Leadership team for Banking & International ... working together to deliver priority change initiatives for the office of the Chief Compliance Officer . In addition, this role plays engages with ICRM product… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to perform as the Senior Lead Business Line Compliance Officer for ... team lead directing the day-to-day activities of one Lead Compliance Officer **In this role, you will:**...Identify and recommend opportunities for process improvement and risk control development. + Consult and engage business … more
- Citigroup (New York, NY)
- …Risk processes. Qualifications: + 10+ years relevant experience in risk and control , regulatory, audit or compliance related disciplines; experience in ... Operations and Systems, Information Security Standards, Vendor/Outsourcing Management, Manager's Control Assessment (MCA), Legal and Regulatory Compliance . +… more
- Citigroup (New York, NY)
- The Client Analytics & Lead Finance Officer Team - Senior Vice President position is a Finance Risk & Control role responsible for leading all aspects of ... for developing and enhancing governance processes to improve efficiency, transparency, and control , as well as ensure alignment with Citi standards and compliance… more
- Citigroup (Jersey City, NJ)
- Serves as a function/ business /product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal ... Business Management, Operations, Technology, Finance, other Control Functions, and In- Business Risk to address compliance issues which may impact the… more
- Citigroup (Jersey City, NJ)
- Serves as a senior function/ business /product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for reviewing ... + Serving as a subject matter expert on Citi's Compliance programs. Provides expert guidance on function/ business /product...well as testing and audit. + Designing and lead compliance and control reviews. + Partnering with… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to support the business aligned compliance functions on the Fixed Income ... Sales & Trading Compliance Team is the Business Aligned Compliance Officer (BACO)...Identify and recommend opportunities for process improvement and risk control development + Consult and engage business … 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 ... Markets, US Commercial Banking and Wealth Management lines of business . US Compliance supports these lines of...rules and regulations; + **Working** with the US Chief Compliance Officer and the Director of US… 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 ... Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage...of expertise. **Role Objectives** Responsible for providing regulatory and compliance advice to business units, identify and… more
- Citigroup (Jersey City, NJ)
- … compliance training resources and tools available centrally to support country/ business compliance programs training and research needs. + Additional duties ... Serves as a compliance risk officer for Independent ...applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control… more
- Citigroup (Jersey City, NJ)
- … compliance training resources and tools available centrally to support country/ business compliance programs training and research needs. + Additional duties ... Serves as a compliance risk officer for Independent ...applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control… more
- Citigroup (Jersey City, NJ)
- … compliance training resources and tools available centrally to support country/ business compliance programs training and research needs. + Additional duties ... Serves as a compliance testing officer for Independent ...applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control… 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 ... Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage...expertise. **Role Objectives** + Responsible for providing regulatory and compliance advice to business units, identify and… more
- Citigroup (New York, NY)
- …Business Management, Operations, Technology, Finance, other Control Functions, and In- Business Risk to address compliance issues which may impact the ... Serves as an Electronic Trading (ET) product compliance risk officer for Independent ...applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control… more
