- TD Bank (New York, NY)
- **Work Location:** United States of America **Hours:** 40 **Pay...Head of US Compliance Programs role leads and acts as business program ... Program + Owns Road to Strong for US Compliance , responsible for Road to Strong...over 27 million households and businesses in Canada, the United States and around the world. More… more
- Scotiabank (New York, NY)
- …Scotia (the "BNS"). The position will provide support to the GBM&T in implementing Volcker Rule Compliance Program in the US and Canada. **What You'll Do** + ... global teams on enhancements to the Bank's enterprise Volcker Compliance Program and participate on work streams...family, financial, physical, mental, and social health needs. Location(s): United States : New York : New… more
- S&P Global (New York, NY)
- …discrimination protections under federal law. 10 - Officials or Managers (EEO-2 Job Categories- United States of America), PDMGDV102 - Senior Management (EEO Job ... **Grade Level (for internal use):** 14 **The** **Role** **:** Head of Product, Regulatory & Compliance **The...- (Strategic Workforce Planning) **Job ID:** 306862 **Posted On:** 2024-09-13 **Location:** New York, New York, United States… more
- Citigroup (New York, NY)
- … monitoring programs , identify reporting metrics associated with regulatory compliance program execution, and develop corrective action plans to address ... supporting the policy. + Providing guidance to the thematic Compliance programs on the resolution of open...Type:** Full time **Primary Location:** New York New York United States **Primary Location Full Time Salary… more
- SMBC (New York, NY)
- …and Testing, and Regulatory Change Management is a crucial role within the Compliance Department, reporting directly to the Head of Corporate Compliance ... the Americas, SMBC Group has a presence in the US , Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed...requirements. + Compliance Risk Assessment: Lead the Compliance Risk Assessment Program , identifying and evaluating… more
- S&P Global (New York, NY)
- …play a pivotal role in our global compliance team, ensuring that our Compliance Program for the indices division is effective and aligned with best ... practices. This role will report directly to the Head of Compliance , SPDJI. **Responsibilities and Impact:**...to persons with indefinite right to work in the United States . **Return to Work:** Have you… more
- Neuberger Berman (New York, NY)
- …closed-end fund structures. **Responsibilities:** + Managing all aspects of a registered fund compliance program , including: + Annual Rule 38a-1 compliance ... in client and prospect due diligence meetings + Coordinating compliance program within the framework of the...with all areas and personnel within the Legal and Compliance Department, including the global head of… more
- Mizuho Corporate Bank (New York, NY)
- …Consulting supporting these functions + Understanding of the regulatory framework in the United States for banks (including bank holding companies and foreign ... assessing Compliance Risk and developing and implementing compliance controls and programs such as: +... Compliance Risk Management team to support the Compliance Monitoring Program . This role is ideal… more
- Citizens (New York, NY)
- …paid time-away policy of very local and state jurisdiction in the United States . For an overview of our benefits, visit https://jobs.citizensbank.com/benefits. ... of actual/potential laws and regulations potentially impacting the bank. Reporting to the Head of Compliance Operations, the role will have exposure across… more
- embecta (Parsippany, NJ)
- …Ethics, Compliance and Privacy to develop and manage an effective ethics and compliance program . This role is crucial in supporting our company's growth by ... and develop strategies to mitigate risks. Monitor and audit the effectiveness of the compliance program . **Qualifications:** + Juris Doctor (JD) with at least 8… more
- Citizens (New York, NY)
- …or paid time-away policy of very local and state jurisdiction in the United States . For an overview of our benefits, visit https://jobs.citizensbank.com/benefits ... audience that includes our client facing colleagues, Directors, C-level leadership, Risk, Compliance and vendors. The Head of Investment Platform and Diligence… more
- Wellington (New York, NY)
- … will support and provide leadership to Wellington Management's private investments compliance program , focusing on private credit. Wellington is expanding the ... misuse of material non-public information + Supporting Wellington's private investments compliance program (firmwide) regulatory risk areas including those that… more
- Wellington (New York, NY)
- …**About the Role** The Compliance Officer will support Wellington Management's compliance program , focusing on the rules and regulations governing US ... & Risk Group and will report to the Head of Investment Platform Compliance , Americas, working...future maintenance and improvements of Wellington's Investment Company Act compliance program , and ongoing support of Wellington's… more
- Mizuho Corporate Bank (Jersey City, NJ)
- …Duties Assist in various tasks as the need arises when requested by the Unit Head , Section Head or Manager COMPLIANCE : + Obtain a basic understanding ... and regulations should be directed to the Legal and Compliance Department. Attend Annual compliance Training presented...Other requirements Mizuho has in place a hybrid working program , with varying opportunities for remote work depending on… more
- HSBC (New York, NY)
- …or any other trait protected by applicable law. **Job Field:** Risk and Compliance **Primary Location:** North America- United States -New York-New York ... **Other Locations:** North America- United States -Massachusetts-Boston, North America- United States -California-San Francisco **Req ID:** 0000KASY more
- S&P Global (New York, NY)
- …will report to and work directly with the Head of Global Financial Crimes Compliance Program Office within S&P Global Enterprise Risk & Compliance . + ... Level (for internal use):** 12 **Director, Global Sanctions & Financial Crimes Compliance Program Advisor** **About the Role:** **Responsibilities and Impact:**… more
- Kuehne+Nagel (Jersey City, NJ)
- …in-house advice on all relevant legal matters of our United States business. From corporate governance, contracts, regulatory compliance , mergers and ... worldwide? Here at Kuehne+Nagel, we're looking for a new Head of Legal US to join our...being applied and adhered to in line with applicable United States laws and regulations. + Provide… more
- Mizuho Corporate Bank (New York, NY)
- …a timely manner. Conduct reviews on PDCA from each office semi-annually. + Liaise with MUSO Compliance in NY and Head Office Compliance Dept in Tokyo. + ... to MUSO's Regional CCO and other MDs at Americas Compliance Department in their efforts in effecting regional governance...Other requirements Mizuho has in place a hybrid working program , with varying opportunities for remote work depending on… more
- Scotiabank (New York, NY)
- …graduate degree in Business, Finance, or comparable preferred + Securities License desirable Location(s): United States : New York : New York City Scotiabank is ... Vice President, Head of US Operational Resilience **Requisition...US Operational Resilience **Requisition ID:** 206668 **Employee Referral Program - Potential Reward:** $0.00 **Salary Range:** 240,000.00 -… more
- Pfizer (New York, NY)
- …compensation structures and benefit packages are aligned based on the location of hire. The United States salary range provided does not apply to Tampa, FL or ... program . We offer comprehensive and generous benefits and programs to help our colleagues lead healthy lives and...any location outside of the United States . Relocation assistance may be available… more