- SMBC (New York, NY)
- …findings or recommendations; + M&T findings or recommendations; and/or + Observations by Compliance officer or business staff member + Coordinate with relevant ... the Regulatory Governance team is responsible for production of Annual Compliance Reports and related senior officer certifications. **Responsibilities:** +… more
- Neuberger Berman (New York, NY)
- …join the Compliance Team in New York. This person will report into the Chief Compliance Officer - Central Compliance . In this role, the primary focus is ... to contribute to collaborative projects across the firm's global compliance program. **Primary Responsibilities:** + Review and analyze reports generated… more
- SMBC (Jersey City, NJ)
- …The role will work closely with the SMBC Nikko Securities America, Inc., Chief Compliance Officer , SMBC Americas Division Head of Ethics Office, business unit ... of Registrations will report to the Head of Employee Compliance with responsibility to lead the Registrations Program across...supervisors, subject matter experts and compliance officers, Legal, Human Resources, Technology, and vendors. **Role… more
- SMBC (Jersey City, NJ)
- …The role will work closely with the SMBC Nikko Securities America, Inc., Chief Compliance Officer , SMBC Americas Division Head of Ethics Office, business unit ... Contributions Lead will report to the Head of Employee Compliance with responsibility for oversight of the firm's outside...supervisors, compliance officers, Legal and Human Resources. **Role Objectives** +… more
- Neuberger Berman (New York, NY)
- **Position Overview:** The Private Wealth Business Enablement Officer will play a key role in the Private Wealth business' technology budget, prioritization, ... acts as the connective tissue across Private Wealth, Technology, Operations, Compliance , Finance, and client-facing teams to source and validate requirements, size… more
- SMBC (New York, NY)
- …offers a competitive portfolio of benefits to its employees. **Role Description** The Officer of Accounting, Treasury, Tax will join at the Analyst level and handle ... similar application systems). + Knowledge of USGAAP, financial regulations, and compliance standards. + Experience with making journal entries and accounting basics… more
- SMBC (New York, NY)
- …to its employees. **Role Description** This position supports the Chief Credit Risk Officer as well as Co-Head(s) of CDAD as a business management and coordination ... trackers, and organizational diagnostics to support strategic initiatives. + Monitor compliance with policies and procedures related to problematic assets, including… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS US Compliance ... US and global businesses, working with regional teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance … more
- HUB International (New York, NY)
- …SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Chief Compliance Officer , will be a highly visible, senior leadership position, ... and enhancing the SEC compliance infrastructure. **Job Summary:** The **Chief Compliance Officer ** **for Retirement and Private Wealth** will be responsible… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance assists in ... to detail and ability to work independently. **General Job Posting:** The Compliance Officer supports consumer regulatory compliance functions for… more
- TD Bank (New York, NY)
- …more specific details for this role. **Job Description:** **Position:** Senior FCRM Compliance Officer **Reports to:** Director, Financial Crime Risk Oversight, ... on financial crime risks of new products and mandates. The Senior FCRM Compliance Officer is responsible for supporting the firm's FCRM program and plays a key… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER -CREDIT CARDS* WHAT IS THE OPPORTUNITY? Position is responsible for performing risk analysis and assessment of compliance regulations, ... training for new or revised laws and regulations. * Assist the Compliance Manager, Senior Compliance Officer , and Risk Assessment team with the evaluation of… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR-INVESTMENT ADVISORY* *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance oversight and ... also be responsible for managing and maintaining assigned areas of the compliance program including monitoring business area compliance with applicable laws,… more
- TD Bank (New York, NY)
- …you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS US ... global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance … more
- ManpowerGroup (New York, NY)
- **Jefferson Wells has a long-term contract opportunity for a Fractional Compliance Officer ** **Position Type:** Part-Time / Contract **Location:** NYC **Reports ... Administration **Rate** W2 65- 75 hr **Position Summary:** The Fractional Compliance Officer serves as a strategic advisor and operational leader responsible for… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR-MORTGAGE ORIGINATION* WHAT IS THE OPPORTUNITY? The Compliance Officer Senior - Mortgage is responsible for managing and ... maintaining assigned areas of the compliance program covering US Mortgage Banking including monitoring business area compliance with applicable laws and… more
- Banco Popular Puerto Rico (New York, NY)
- …2, 2026 Location: New York, NY, US, 10004 Company: Popular Workplace Type: Hybrid Senior Compliance Officer II - Regulatory US B Regulatory Compliance We are ... looking for a Senior Compliance Officer to join our Compliance Team. The role may be based in New York, NY or Miami Lakes, FL. The right candidate will… more
- New Jersey Institute of Technology (Newark, NJ)
- Title: Chief Compliance Officer Department: Office of Institutional Compliance Reports To: General Counsel, Senior Vice President of Legal Affairs and ... the Board of Trustees Position Type: Staff Position Summary: The Chief Compliance Officer (CCO) serves as the senior executive responsible for overseeing and… more
- MetLife (Whippany, NJ)
- …Opportunity Investments Compliance is seeking an engaged, detail oriented, and self-motivated Compliance Officer to join the team. The Compliance ... The Team You Will Join Compliance Risk Management (CRM) delivers a compliance...Officer will be primarily responsible for key regulatory compliance activities including regulatory filings, regulatory change management, licensing… more
- Insight Global (New York, NY)
- Job Description The Compliance Officer will work closely with the members of a team focusing on regulatory compliance issues with respect to marketing and ... other investor/third party materials and communications. The Compliance Officer will serve as the primary day to day contact for the business regarding marketing… more
