- 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
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing compliance risks and ... reported issues. **Key Activities include:** + Developing, implementing, and executing compliance testing , continuous assurance, and reporting programs within an… more
- TD Bank (New York, NY)
- …global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance ... for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of... + Assist with developing and executing the annual Compliance Testing and Monitoring plan + Determine… 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
- 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 ... and covers the TDS US businesses. This Senior Compliance Officer will also support other aspects...process and track issues to closure. + Assist the Compliance Testing Team, as needed, on monitoring… more
- Citigroup (New York, NY)
- …on internal policies and procedures. This role is in support of the Chief Compliance Officer (CCO) of the Futures Commission Merchant and covers the FDC ... Serves as a senior function/business/product compliance risk officer for Independent ...inquiries and internal and external investigations, as well as testing and audit. + Designing and lead compliance… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $140,000 USD TD is committed to providing fair ... this role. **Job Description:** **Preferred Qualifications:** TD Securities' Regulatory Compliance Management Framework (RCM) is implementing new programs and… more
- Amalgamated Bank (New York, NY)
- Amalgamated Bank is seeking a Compliance Officer to assist the Compliance Officers to ensure the Bank's loan, deposit products and services maintain ... compliance laws, regulations, and regulatory guidance. + Perform monitoring/ testing as needed to ensure existing and proposed deposit...with federal and state regulations + Collaborate with Chief Compliance Officer in executing the Bank's … more
- Bloomberg (New York, NY)
- …Head of Employee Compliance .** **What's the Role?** **We are seeking a Compliance Officer with deep E-Comms Surveillance & Monitoring experience. You will be ... to you to make it happen.** **Bloomberg's Legal & Compliance Department plays a critical role in supporting our...program.** **Our Team** **As an Electronic Communications (E-Comms) Surveillance Officer , you'll be a critical member of the Employee… more
- BMO Financial Group (New York, NY)
- …Income compliance program. Coordinate and performs risk assessment, monitoring, testing and surveillance activities to ensure program remains current and aligned ... compliance controls. + Perform and/or effectively challenge monitoring and testing activities to ensure regulatory compliance controls are operating and… 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
- Citigroup (New York, NY)
- …related matters across functions and products. **Job Purpose:** The Business Risk and Control Officer reports into the newly formed Markets Ops COO Global Risk ... and perform independent spot checks. + Manage high priority cross-product Audit, Compliance , Regulatory and self-identified Issues for Markets Operations to… more
- Bank of America (New York, NY)
- …LOB supervisors and senior management/COOs and other support functions (eg, Compliance , Enterprise Independent Testing (EIT), Risk, Operations and Technology, ... Commodities, Business Controls Officer New York, New York **Job Description:** At...make an impact. Join us! **Job Description:** The Global Markets Business Controls Office (BCO) is responsible for the… more
- Bank of America (New York, NY)
- …LOB supervisors and senior management/COOs and other support functions (eg, Compliance , Enterprise Independent Testing (EIT), Risk, Operations and Technology, ... Sr. Business Controls Officer New York, New York **Job Description:** At...make an impact. Join us! **Job Description:** The Global Markets Business Controls Office (BCO) is responsible for the… more
- Mizuho Corporate Bank (New York, NY)
- …Further, the team plays a key role (in collaboration with legal, compliance , IT, etc) in the analysis, requirements specifications, and implementation of new ... reporting requirements as relevant to their remit. Summary The Operations Regulatory Reporting Officer position will play a key role in the development of this newly… more
- Wells Fargo (New York, NY)
- …are accountable for execution of all applicable risk programs (Credit, Market , Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... Wells Fargo is seeking a Senior Lead Control Management Officer within the Corporate & Investment Banking (CIB) Control...2052a, BCBS 239 and other financial reporting program control testing (design and performance testing and manage… more
- Amalgamated Bank (New York, NY)
- The Deputy Chief Audit Officer (DCAO) supports the Chief Audit Executive in leading the internal audit function, ensuring compliance with regulatory ... with the goal of mitigating risk. + Oversee the Sarbanes-Oxley (SOX) controls testing + Oversight of Co-Source partner relationships. + Assist with Budget vs Actual… more
- Citigroup (New York, NY)
- The Market Risk Senior Officer I is...a day-to-day and long-term basis for various financial products. Market risk stress testing pertains to potential ... the Citi products. This role is specific to the Market Risk Stress Testing function within Global...interaction with In-Business Risk functions to understand sources of market risk variation + Interaction with Markets … more
- Citigroup (New York, NY)
- …(where possible) that will enable the business to make rapid decisions against market condition changes + Ensures the compliance of development and validation ... The Model/Anlys/Valid Sr Officer I is a strategic professional who closely...measuring and analyzing risk, for all risk types including market , credit and operational. Also, may develop, validate and… more