- Fidelity TalentSource LLC (Jersey City, NJ)
- …knowledge, reasoning and relationships The Team This team reports to the Chief Compliance Officer for Fidelity Digital Assets, a full-service, enterprise grade ... Job Description:RoleFidelity Internal Information Senior Compliance Advisor, FDAS Compliance The Role As a member of the Fidelity Digital Asset Services, LLC… more
- MultiPlan (New York, NY)
- JOB REPORTS TO: The Chief Information Security Officer (CISO) JOB SUMMARY: The Director of Information Security - Identity and Access Management (IAM) provides ... and the ability to drive cross-functional strategic initiatives while ensuring compliance and security best practices. JOB ROLES AND RESPONSIBILITIES: The Director… more
- Creative Financial Staffing (New York, NY)
- …Staff Accountant will also eventually be responsible for review leases for compliance Additional Ad Hoc responsibilities as assigned by the Chief Financial ... Officer What you bring to the table as the Property Accountant 2+ years of relevant accounting experience; Real Estate is a plus Experience using an accounting system… more
- 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
- NatWest Markets (Stamford, CT)
- Director Electronic Trading Compliance Officer , US Closing date for applications: 29/09/2024 Stamford,United States Permanent Full Time \#R-00241613 Share: ... proper operations of the department and the business. **Director, Electronic Trading Compliance Officer , US** Seeking an experienced compliance officer … more
- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Compliance Officer - Policies and Procedures of ... by the compliance advisor for each regulated entity. The Compliance Officer Policies and Procedures will also maintain the Written Supervisory Procedures for… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to perform as the Senior Lead Business Line Compliance Officer for Public ... will act as team lead directing the day-to-day activities of one Lead Compliance Officer **In this role, you will:** + Provide oversight and governance of the… more
- Akumin (New York, NY)
- …and its subsidiaries and affiliates. Reporting to General Counsel, the Chief Compliance Officer is responsible for all aspects of development, implementation, ... Privacy Compliance (CHPC), Certified Fraud Examiner (CFE), Certified Professional Compliance Officer (CPCO), or Certified Professional Coder (CPC) **Physical… more
- Wellington (New York, NY)
- …aligns our perspectives with those of our clients. **About the Role** The Compliance Officer will support Wellington Management's compliance program, ... against these growth initiatives and implementing enhancements where necessary. The Compliance Officer will be a member of the Legal, Compliance … more
- Robert Half Legal (New York, NY)
- …excellent PTO and sick time are also offered. Requirements * Proven experience as a Compliance Officer or similar role within the non-profit sector for a minimum ... and assisting with projects of the Assistant Vice President, Compliance Liaison & Privacy Officer and attorneys...Assistant Vice President, Compliance Liaison & Privacy Officer and attorneys responsible for our pension, health, 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
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a **Lead Compliance Officer ** in Corporate Risk as part of **Corporate & Investment Banking (CIB) Compliance .** ... the career areas and business divisions at wellsfargojobs.com . This Lead Compliance Officer will conduct monitoring activities of the front line of Municipal… more
- City National Bank (New York, NY)
- ** COMPLIANCE OFFICER SENIOR** **WHAT IS THE OPPORTUNITY?** The Senior Compliance Officer is responsible for managing and maintaining assigned areas of ... the compliance program including monitoring business area compliance with applicable laws and regulations, ensuring controls are in place to mitigate … 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
- 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
- CIBC (New York, NY)
- …based in Toronto, Ontario, Canada. **What You'll Be Doing** The PWM Chief Compliance Officer ("CCO") is responsible for developing, implementing, and maintaining ... state of Delaware rules and regulations; + **Working** with the US Chief Compliance Officer and the Director of US Compliance Programs to develop, implement… more
- Tradeweb (New York, NY)
- Tradeweb Compliance is looking for a junior to mid-level compliance officer to support our core compliance functions across our regulated entities ... This role will have a reporting line to a supportive and experienced compliance officer based in New York. You will have a high-level understanding of regulation… more
- Bloomberg (New York, NY)
- …and correspond with regulators. We are seeking a Trade / Export Control Compliance Officer who is adept in US export control regulations specifically ... import / export compliance across the various Bloomberg businesses. The Compliance Officer will maintain compliance with applicable customs / export and… 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
