- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for Surveillance Intelligence Unit (SIU) within Independent Compliance Risk Management (ICRM)'s Surveillance and ... and execution consistency and cluster-specific relevancy. The ICRM Global Surveillance and Employee Compliance program encompasses a...to influence and lead people across cultures at a senior level + Experience in managing regulatory exams and… more
- Bank of America (New York, NY)
- …Skills + Written Communications + Active Listening + Issue Management + Monitoring, Surveillance & Testing + Regulatory Compliance + Technical Documentation + ... Enterprise Financial Risk Sr . Specialist Charlotte, North Carolina;Jersey City, New Jersey;...the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief Financial Officer… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer .... + Participate in the review of monitoring and surveillance routines and respond to alerts or issues from ... the Bank's business strategies and objectives. Provide advice on compliance with governing regulations and Bank internal policies and...Surveillance by investigating the circumstances surrounding trades or communications… more
- Morgan Stanley (New York, NY)
- …variety of supervisory, compliance , and risk functions. In conjunction with the Senior Risk Officer , the NRO has accountability for maintaining a consistent ... to the Complex Manager and Senior Risk Officer . *DUTIES and RESPONSIBILITIES:* ** * Surveillance and...risk and compliance . * Together with the Senior Risk Officer facilitates the training on… 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 ... + Provide Compliance Advisory services for US Marex Solutions Trade Surveillance process. + Provide Compliance Advisory services for US Marex Solutions… more
- Siebert Williams Shank (New York, NY)
- …and experienced compliance professional to the team led by the Chief Compliance Officer . The selected candidates will be responsible for supporting the ... compliance efforts related to supervisory oversight, training, e-mail surveillance , branch office exams, FINRA licensing and registrations, anti-money laundering… more
- Capital One (New York, NY)
- …Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer . This role will support three institutional FINRA registered ... (22957), United States of America, New York, New York Compliance Advisor Senior Manager The Compliance... Manager will work independently from the CBD Chief Compliance Officer to interact with and advise… more
- Bank of America (Jersey City, NJ)
- …a difference. Join us! **Job Description:** This job is responsible for assisting the Compliance and Operational Risk officer team to execute second line of ... + Monitoring, Surveillance , and Testing + Process Management + Regulatory Compliance + Reporting + Risk Management + Attention to Detail + Critical Thinking… more
- City of New York (New York, NY)
- …organization, with faster decision-making, transparent public communications, and stronger surveillance and bridges to healthcare systems 2) Address and prevent ... looking to recruit a Preventive Medicine Residency Director and Senior Population Health Physician. This role demands a combination...areas of focus - Advise and assist Chief Medical Officer and other agency executives on areas of focus… more
- Scotiabank (New York, NY)
- …you will be required to work as part of the team and assist the Senior Managers and/or Director, US Internal Control & Global Wholesale Operations Audit to provide ... Control governance framework is preferred including understanding of Supervision, Surveillance & Monitoring, Trade Floor Supervision, Risk and Control Library… more
- Synchrony (New York, NY)
- …Summary/Purpose:** In this role you will report to the Chief Procurement Officer and will be responsible for leading the Supplier Management Program, Assessments, ... and Surveillance , across the entire Bank. You will have direct...across the Bank, including Sourcing, Source to Pay, Legal, Compliance , Operational Risk, Internal Audit, Supervisory Affairs and Information… more