- Citigroup, Inc (Jersey City, NJ)
- Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for reviewing ... the Citi program framework. Primary responsibilities include providing day-to-day Compliance advice relating to transactional conflicts, operations,, and guidance on… more
- Fidelity Investments (Jersey City, NJ)
- Job Description:RoleFidelity Internal Information Senior Compliance Advisor, FDAS Compliance The Role As a member of the Fidelity Digital Asset Services, LLC ... knowledge, reasoning and relationships The Team This team reports to the Chief Compliance Officer for Fidelity Digital Assets, a full-service, enterprise grade… more
- BNP Paribas (Jersey City, NJ)
- …Americas Compliance is an independent governance function headed up by the Chief Compliance Officer for the Americas (Americas CCO) based in New York with ... in Canada and Latin America. Reporting directly into the Americas CCO is the Compliance Chief Operating Officer (COO) for Americas Compliance . The … more
- JP Morgan Chase & Co. (Jersey City, NJ)
- …DescriptionBring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. ... customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging...& Business Management team supports the firm's Chief Risk Officer , RM&C Chief Financial Officer and the… more
- Sumitomo Mitsui Financial Group, Inc. (Jersey City, NJ)
- …portfolio of benefits to its employees.Role DescriptionSMBC Group is seeking a Compliance Transformation Officer for the Compliance Department Americas ... team focuses on several key compliance risk types, including consumer compliance , investment banking related compliance , conduct, regulatory … more
- JP Morgan Chase & Co. (Jersey City, NJ)
- …DescriptionBring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. ... impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and… more
- Citigroup, Inc (Jersey City, NJ)
- …Receivables Finance, Payables Finance, Trade and Working Capital Loans, and Export Agency Finance.The Compliance AML Risk Management Senior Officer - ACRM - ... Trade AML programAbility to interact and communicate effectively with senior leadersAble to present AML analysis and recommendations to...team membersSolid experience at a Medium to Large sized Investment Bank in Account opening, Compliance or… more
- Deloitte (Jersey City, NJ)
- …credentials:Foreign equivalent of the above certificationsCUSICO (Certified US Import Compliance Officer )Professional Accreditation in EU Customs Law (post ... have the opportunity to help clients get the most from their SAP investments -and help position businesses for the evolving digital economy. Ready to reimagine your… more
- Royal Bank of Canada (Jersey City, NJ)
- …CUSO Risk Policy Review Committee (PRC), which is chaired by the Chief Risk Officer and includes senior GRM leaders as membersMaintaining GRM's Policy Management ... implementation of a monitoring program to ensure GRM is in compliance .Regularly monitor announcements and publications from RBC's primary regulators/supervisors for… more
- Deutsche Bank (New York, NY)
- …accounts and investment products direct to institutional investors.Role DetailsAs a Senior Compliance Officer - Institutional Sales Coverage, you ... Job Description:Employer: DWS GroupTitle: Senior Compliance Officer -... experience with experience as a Compliance Officer /Advisor for a broker dealer and/or registered investment… more
- Annaly Capital Management Inc (New York, NY)
- … compliance professional to join its legal and compliance team. The Senior Compliance Officer will report directly to Annaly's Deputy General Counsel ... and Chief Compliance Officer and will have exposure to...JD considered favorably but not required.4-7 years of relevant compliance experience in the investment management industry,… more
- Faire (New York, NY)
- …If you believe in community, come join ours. About this roleWe are looking for a Senior Compliance Officer to join Faire's legal department. This person will ... corrective action plans for resolution of problematic issuesProvide regular reports on compliance activities to senior management, regulators, and Faire's Board… more
- TD Bank (New York, NY)
- …recruiter who can provide you more specific details for this roleJob Description: Compliance Monitoring and TestingExecute the annual Compliance testing and ... testing approach and the overall results and findings of the compliance testing review.Build relationships with Key Stakeholders and communicate deficiencies to… more
- The Goldman Sachs Group, Inc (New York, NY)
- …communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, ... we maintain offices around the world. We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of… more
- Sumitomo Mitsui Financial Group, Inc. (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or ... Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal...compliance risk, and is represented by the Chief Compliance Officer as either a member or… more
- UBS (New York, NY)
- Your roleAre you a Compliance Professional who likes taking on responsibility? Do you enjoy working in a fast paced environment and being the subject matter expert? ... are looking for someone like this to:* Liaise with senior management in the equities derivatives business and functional...in the equities derivatives business and functional leaders in compliance , legal, risk and other areas to provide effective… more
- Scotiabank (New York, NY)
- …Markets Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America, ... bridge to this key global market for trade and investment flows across the Americas and the world. Global...the Bank's business strategies and objectives. Provide advice on compliance with governing regulations and Bank internal policies and… more
- Community Bank System, Inc. (New York, NY)
- …ResponsibilitiesThe CRA/Fair Lending Data Analyst will be responsible for assisting the Chief Compliance Officer , Senior Compliance Managers, and CRA ... Massachusetts. Beyond retail banking, we also offer wealth management, investment management, insurance and risk management, and benefit plan...other reviews as assigned, with guidance from the Chief Compliance Officer and Senior … more
- UBS (Weehawken, NJ)
- …relevant risk factors to ensure all credit extensions have been made in compliance with UBS policies and US regulatory expectations.* Assess the accuracy and ... and relevant regulation/laws.* Maintain a thorough understanding of UBS' compliance rules and regulations in accordance with UBS policy...credit portfolio to the CUSO Board, US regulators and senior UBS management. We are a department which values… more
- UBS (Weehawken, NJ)
- …exams, Financial Crime Prevention Program testing, and management reporting.* support senior staff / management in researching and responding to regulatory requests, ... Explorer, MS Office applications, case management systems, and/or various compliance related and database systems* experience handling sensitive information with… more
