- City of New York (New York, NY)
- …and external audit, financial reporting and programmatic fiscal processes to serve as Chief Compliance Officer . The selected candidate for this position ... matters related to fiscal oversight or of agency-wide significance, the Chief Compliance Officer duties and responsibilities will include but not… more
- City of New York (New York, NY)
- …directly to the Chief Executive Officer of the Housing Authority, the Chief Compliance Officer ("CCO") will be responsible for overseeing NYCHA's ... federal, state, and local regulatory obligations; regularly assessing the Authority's compliance risks; developing and maintaining up to date procedures that are… more
- Akumin (New York, NY)
- …to the company and its subsidiaries and affiliates. Reporting to General Counsel, the Chief Compliance Officer is responsible for all aspects of development, ... The ** Chief Compliance and Privacy Officer ** provides leadership guidance and support on compliance and privacy matters related… more
- Neuberger Berman (New York, NY)
- Chief Compliance Officer for over $55 billion complex of funds registered under the Investment Company Act of 1940, covering multiple asset classes and ... least five years' experience in role of senior lawyer with compliance responsibilities, or senior compliance officer (or CCO) for registered funds + Strong… more
- MTA (New York, NY)
- …the compliance and integrity program. Report on compliance matters to the Chief Compliance Officer and assist the DCERCO in reporting on such matters ... the compliance and integrity program as are delegated by the Chief Compliance Officer . + Select, develop, and motivate personnel within the department.… more
- YAI (Manhattan, NY)
- …and engages with other members of the senior leadership team including the Chief Program Officer , Chief Compliance Officer , and Chief Human ... strategy, program, and service delivery needs. + Report to YAI's Ch ief Executive Officer and Boards for YAI and it affiliates on YAI's financial position and… more
- Arena Investors LP (New York, NY)
- …function overseeing Arena's principal lines of business. The CRO will partner with our Chief Compliance Officer (CCO) and our operating Business Leaders to ... areas where conventional sources of capital are scarce. We are seeking a Chief Risk Officer (CRO) to join Arena. The newly created role will create a… more
- Tradeweb (New York, NY)
- …will be responsible for managing interactions with regulatory agencies to ensure compliance with applicable laws and regulations. You will be responsible for ... or regulatory requirements are essential for this role. You will provide compliance advice in a fast-paced business setting, with the ability to prioritize… more
- TIAA (New York, NY)
- …The Enterprise Senior Compliance Regulatory Programs Officer supports the Enterprise Compliance Chief Compliance Officer (CCO) to help drive ... + Physical Requirements: Sedentary Work **Career Level** 11PL The Enterprise Senior Compliance Officer supports the SMD Enterprise Compliance Officer to… more
- SMBC (New York, NY)
- …the management of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various ... Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or process with a large… more
- Amalgamated Bank (New York, NY)
- …expertise relative to lending, deposit, and loan servicing regulations. + Collaborate with Chief Compliance Officer in executing the Bank's Compliance ... Amalgamated Bank is seeking a Compliance Officer to assist the Consumer Compliance Officers to ensure the Bank's loan, deposit products and services maintain… more
- SMBC (New York, NY)
- …the management of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various ... Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or process with a large… more
- Siebert Williams Shank (New York, NY)
- …curious 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
- City of New York (New York, NY)
- …as needed to manage and direct program's responses to audits. Provides reports on accountability/ compliance to the Chief Program Officer and the senior ... FOR 6.1.9 TITLE CHANGE. The HRA Office of the Chief Program Officer (OCPO) oversees three major...compliance with the legal process. - Represent the Chief Program Officer , as necessary or directed,… 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 ... The Compliance Advisor Senior Manager will work independently from the CBD Chief Compliance Officer to interact with and advise the CBD LOBs on the… more
- Mount Sinai Health System (New York, NY)
- …the monitoring findings for review by the Director of Hospital Compliance or Chief Compliance Officer . + Presents report to Department Chair/ Divisional ... **Job Description** The Compliance Resource Specialist (CRS) must have a broad...of the department/institution. + Notifies the Departmental Chair/ Divisional Chief , and Administrator of scheduled monitoring initiatives. + Meets… more
- MTA (New York, NY)
- …‐ $109,000 HAY POINTS: 634 DEPT/DIV: MTA Corporate Compliance SUPERVISOR: Agency Chief Compliance Officer LOCATION: 2 Broadway HOURS OF WORK: 9:00 ... incorporates changes into the Internal Control program; + Assist the Agency Chief Compliance Officers ("ACCO") in the administration of their agency programs; +… more
- MTA (New York, NY)
- … Analyst will conduct research, prepare reports, and render assistance to the Deputy Chief Compliance Officer ("DCCO") and other Corporate Compliance ... HAY POINTS: 342 DEPT/DIV: MTA Corporate Compliance SUPERVISOR: Deputy Chief Ethics & Compliance Officer LOCATION: 2 Broadway HOURS OF WORK: 9:00 am… more
- MTA (Jamaica, NY)
- …- $104,700 HAY POINTS: 519 DEPT/DIV: MTA Corporate Compliance SUPERVISOR: Agency Chief Compliance Officer LOCATION: 144-41 94th Avenue HOURS OF WORK: ... attention. + Manage the analytical and administrative work generated by the Agency Chief Compliance Officer and Compliance Director as part of Internal… more
- TD Bank (New York, NY)
- …in routine monitoring plan meetings. The Senior Compliance Group Manager supports the Chief Compliance Officer (CCO) in ensuring the Bank's compliance ... provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** The Senior Compliance Group… more