- Citigroup (Jersey City, NJ)
- Serves as a compliance testing officer for Independent Compliance Risk Management (ICRM)'s Independent Assessment team responsible for assessing ... to address reported issues. Key Activities include: + Developing, implementing, and executing compliance testing and reporting programs in accordance with the … more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM) testing team responsible for assessing compliance risks and ... + Participating in the planning, executing, and reporting of compliance testing reviews and regulatory issue validation...middle and back office Operations activities within the Global Markets business, in accordance with the Compliance … 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 ... in an inclusive and high-performing culture. **Global Banking and Markets ** Global Banking and Markets (GBM) is...issues and execute action plans for Internal Audit and Compliance Testing findings assigned to Compliance… more
- Citigroup (New York, NY)
- Opening is for a Market Risk Officer focused on North America NAM G10 Linear Rates desk. Successful candidate would join an existing team based in NYC focused on ... North America Rates Trading business is a significant component of a global markets franchise providing interest rate market -making and solutions to customers.… more
- SMBC (Jersey City, NJ)
- …deposits) is a strong plus (but not required). + Experience in a Compliance Testing or Audit role focused on banking products/services (lending, deposits) ... clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's...of the CRA are utilized to drive monitoring and testing activities and to prioritize Compliance and… more
- Citigroup (New York, NY)
- …Credit Management Counterparty Credit Risk - Funds Underwriting Credit Officer , Asset Management Companies, VP** **Description** Citi's Commercial Bank (CCB) ... the ICM CCR Funds UW Team and will based in NYC. The Funds UW Credit Officer facilitates the end-to-end lending process and is essential for the delivery of a wide… 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 ... firm's overall compliance program including developing policies and procedures, communicating all...& trading, public & corporate finance groups, and training, testing and assessments. In addition, the selected candidates will… more
- S&P Global (New York, NY)
- …**Grade Level (for internal use):** 12 **About the Role:** S&P Global is seeking a Compliance Director to join our Compliance Team for the S&P Global Dow Jones ... Indices (SPDJI) division. As a Compliance Director, you'll play a pivotal role in our global compliance team, ensuring that our Compliance Program for the… more
- SMBC (New York, NY)
- …supports interaction between the Functions and 2nd LoD, including Risk Management and Compliance . Head of Functions Control Officer oversees each Functional area ... clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's...the current compensation paid in their geography and the market for similar roles at the time of hire.… more
- S&P Global (New York, NY)
- …We are looking for a pro-active and forward-thinking Business Information Security Officer that is well versed in information security management principles and ... driving security practices within the business unit. As the Business Information Security Officer , you will be the Cyber Security & Assurance primary point of… more
- Morgan Stanley (New York, NY)
- …. Lead in process improvement, project management or technology development and testing across multiple teams and/or divisions . Analyze and expose ambiguous, ... Morgan Stanley infrastructure departments, and external contact points in Client or Market organizations . Maintain the financial health of the organization while… more
- Citigroup (New York, NY)
- …Use parallel computing techniques to perform models back testing , stress testing , and profit attribution analysis. Support compliance efforts in response to ... Citibank, NA seeks a Model/Analysis/Validation Officer for its New York, New York location....for its New York, New York location. Duties: Support market risk modeling and analytics projects for Fundamental Review… more
- SMBC (New York, NY)
- …and municipal clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's operating companies in ... Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing...the current compensation paid in their geography and the market for similar roles at the time of hire.… more
- City National Bank (New York, NY)
- *SENIOR BUSINESS CONTROL MANAGER - CAPITAL MARKETS * WHAT IS THE OPPORTUNITY? The Senior Business Control Manager will report into the Business Control Officer of ... in the team that will design, maintain, implement, manage and enhance the capital markets first line risk program for four separate line verticals (FX, Interest Rate… more
- Citigroup (Queens, NY)
- …QATV team in enhancing and employing an "audit-style" approach to test Citi's compliance with the US Regulations** **Develop testing strategy (eg, scoping ... **The** **Conformance Testing - Fin Quality Assurance Manager** **, is...regulatory reports (eg, FR 2052a, FFIEC 009/009a)** **Strong financial market knowledge of fixed income, capital markets … 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 FINRA registered ... broker dealers and provide compliance support to the Capital Markets line...Senior Manager will work independently from the CBD Chief Compliance Officer to interact with and advise… more
- M&T Bank (New York, NY)
- … Advisor must understand when situations warrant escalation to the M&T Bank Chief Compliance Officer , Legal, or when other consultation is needed. The ... This Senior Vice President level role provides guidance on complex compliance risk management activities within the Institutional Client Services department of… 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 ... and maintains a comprehensive regulatory inventory **Skills:** + Monitoring, Surveillance, and Testing + Process Management + Regulatory Compliance + Reporting +… more
- BlackRock (New York, NY)
- …a senior member of the 1940 Act Compliance team reporting to the Chief Compliance Officer . The individual will be focused on supporting all aspects of the ... efficient indexing strategies designed to gain broad exposure to the world's capital markets . Our clients can access our investment solutions through a variety of… more
- Wellington (New York, NY)
- …of the Legal, Compliance and Risk Group and will report to the Chief Compliance Officer , Americas/Global Head of Funds Compliance , and work closely with ... that span nearly all segments of the global capital markets . Our investment solutions, tailored to the unique return...of our clients. **About the Role** The Senior Regulatory Compliance Analyst will support Wellington Management's compliance … more