- Family and Children's Association (Mineola, NY)
- Compliance Officer The Opportunity FCA is excited to announce an opportunity for the position of Compliance Officer . As we continue to grow and evolve, ... review and evaluate compliance issues/concerns within FCA. The ideal Compliance Officer will ensure FCA complies with the rules and regulations of regulatory… more
- Scotiabank (New York, NY)
- Senior Manager, Conduct Compliance Officer **Requisition ID:** 210173 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range shown is a ... together to drive ambition for every future! **Purpose** The Conduct Compliance Officer coordinates tracking, measurement, and management for conduct-related… more
- NatWest Markets (Stamford, CT)
- Director Electronic Trading Compliance Officer , US Stamford,United States Permanent Full Time \#R-00241613 Our people work differently depending on their jobs ... proper operations of the department and the business. **Director, Electronic Trading Compliance Officer , US** Seeking an experienced compliance officer … more
- Banco Popular Puerto Rico (New York, NY)
- …Dec 6, 2024 Location: New York, NY, US, 10004 Company: Popular Workplace Type: Hybrid Senior Compliance Officer II. - CRA US CRA We are looking for a senior CRA ... Compliance Officer /CRA Program Manager to join our Compliance Team in New York, NY. This person will develop and actively manage the Bank's CRA strategy and… more
- City of New York (New York, NY)
- …and education programs for tenants and building owners. Your Team: Reporting to the Chief Compliance Officer , the Lead Compliance Officer , will be a ... state, and city), regulatory requirements, policies, and procedures. The Lead Compliance Officer may have the opportunity to help strengthen the office and… more
- City of New York (New York, NY)
- …add staff to fulfill critical functions. Position Summary The Assistant General Counsel and Compliance Officer reports directly to the General Counsel and is a ... Trust's legal and compliance department. The Assistant General Counsel and Compliance Officer will assist in managing the Trust's legal matters, focusing on … more
- City of New York (New York, NY)
- …external audit, financial reporting and programmatic fiscal processes to serve as Chief Compliance Officer . The selected candidate for this position will use an ... matters related to fiscal oversight or of agency-wide significance, the Chief Compliance Officer duties and responsibilities will include but not be limited to:… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR* WHAT IS THE OPPORTUNITY? The Senior Compliance Officer within the Fair and Responsible Banking Department is responsible for ... managing and maintaining assigned areas of the compliance program covering Fair and Responsible Banking including monitoring business area compliance with… more
- Bloomberg (New York, NY)
- Senior Compliance Officer - Management Information (MI) AND Governance Reporting Lead - Legal & Compliance Bloomberg's Legal & Compliance Department ... and highlight areas of focus for our stakeholders (including our Chief Compliance Officer and Executive Management). The successful candidate will develop… 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 ... Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or process with a large… more
- City of New York (New York, NY)
- …and building owners. Job Description: Reporting to the First Deputy Commissioner, the Chief Compliance Officer (CCO) will lead the Office of Compliance & ... of ethics and accountability within the agency, helping program areas manage compliance autonomously. The Chief Compliance Officer 's responsibilities will… 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 ... Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or process with a large… more
- City of New York (New York, NY)
- …of the Director, Investigations and Compliance Unit, the Investigations and Compliance Officer will: - Manage relationships with agency EEO personnel, ... workforce across over 80 agencies (mayoral or non-mayoral). The Investigation and Compliance Unit, to which this position belongs, updates and provides guidance to… more
- Citigroup (New York, NY)
- Serves as a senior Research, Marketing, and Content Compliance Officer for Independent Compliance Risk Management (ICRM) responsible for establishing ... with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating… 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 ... activities. This role also involves overseeing trading activities and ensuring compliance with various regulatory reporting requirements. The position will primarily… more
- S&P Global (New York, NY)
- …Officers and the Risk & Internal Controls team globally, the Data & Technology Covering Compliance Officer will be a direct liaison and a point of escalation ... S&P Global Ratings data and technology activities from a Compliance , Risk & Internal Controls perspective. The role will...Internal Controls perspective. The role will also represent the Compliance & Risk function in data and technology governance… more
- Citigroup (New York, NY)
- Serves as a senior Research, Marketing, and Content Compliance Officer for Independent Compliance Risk Management (ICRM) responsible for establishing ... include participating in senior business risk and control forums, monitoring compliance risk behaviors, providing day-to-day Compliance advice relating to… more
- Morgan Stanley (New York, NY)
- …sponsored benefit programs. **Job:** ** Compliance * **Title:** *Equity Sales & Compliance Officer * **Location:** *New York-New York* **Requisition ID:** ... of our culture. Department Profile Professionals within Legal and Compliance provide a wide range of services to our...the firm's businesses. Background on the Team The Global Compliance Department manages a Firmwide Compliance Risk… 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 ... support of the Bank's business strategies and objectives. Provide advice on compliance with governing regulations and Bank internal policies and procedures. **What… 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...risk management, provide advice on and oversight of SWS's compliance with US securities laws and regulations through critical… more