- 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 ... lead directing the day-to-day activities of one Lead Compliance Officer **In this... issues in Public Finance; and ensure that escalated compliance issues receive immediate senior management attention.… more
- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or ... compliance risk, and is represented by the Chief Compliance Officer as either a member or...team and other legal entities in the Americas to lead a coordinated effort throughout the organization. + Collaborates… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a Senior Lead Control Management Officer to support the Chief Operating Officer (COO) Control Management ... team. This role is the Governance and Administrative Lead for the COO Evidence Based Control Evaluations (EBCE) team and is designed to execute specific… more
- Citigroup (New York, NY)
- Serves as a senior product compliance risk officer...as well as testing and audit. + Designing and lead compliance and control reviews. + Partnering ... in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level + Experience in managing… 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 ... compliance across the various Bloomberg businesses. The Compliance Officer will maintain compliance ...all Bloomberg entities globally. **We'll Trust You To:** + Lead Trade Compliance Program regarding export control… more
- Wellington (New York, NY)
- …Therefore, a key responsibility of the role is to work with the Chief Compliance Officer to build-out, manage and execute the compliance infrastructure ... Group and will report to the Private Investments Chief Compliance Officer , working closely with other ...Ability to self-start, think creatively and initiate projects that lead to improved scalable workflows + Highly organized and… more
- Citigroup (New York, NY)
- Serves as a risk officer for Independent Compliance Risk Management (ICRM)'s Exam Management and Regulatory Liaison Office responsible for the promotion, ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...ability to navigate a complex organization; to influence and lead people across cultures at a senior … more
- Citigroup (New York, NY)
- The Client Analytics & Lead Finance Officer Team - Senior Vice President position is a Finance Risk & Control role responsible for leading all aspects of ... transparency, and control, as well as ensure alignment with Citi standards and compliance with key regulatory requirements. In fulfilling this mandate, the role will… 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 ... career areas and business divisions at wellsfargojobs.com . This Lead Compliance Officer will conduct...Microsoft Office Skills + Ability to prepare presentations and senior management reporting while analyzing data and making meaningful… more
- Bloomberg (New York, NY)
- …meets its legal, regulatory, and reputational responsibilities + Support, and at times lead the team, on specific regulatory Compliance projects /initiatives for ... make it happen. What's the role? Bloomberg's Legal & Compliance Department plays a critical role in supporting our...documents + Provide strong subject matter expertise to, and lead the Data Subject Request Management pillar of the… more
- City National Bank (Jersey City, NJ)
- **CREDIT RISK REVIEW OFFICER SENIOR ** **WHAT IS THE OPPORTUNITY?** The Credit Risk Review Department (CRR), is part of the 3rd line of defense, and as such is ... exceptions are adequately identified, fully justified and properly approved. May lead credit review examinations, prepare final reports, and conduct overall meetings… more
- Citigroup (New York, NY)
- …(ICRM) responsible for leading and managing business execution activities, supporting the Chief Compliance Officer and the Senior Leadership team for Banking ... and coordinating communications for the Banking & International Chief Compliance Officer and Senior Leadership...ability to navigate a complex organization; to influence and lead people across cultures at a senior … more
- Citigroup (New York, NY)
- The Capital Markets Regulatory Engagement Senior Officer -SVP is a strategic professional who closely follows latest trends in own field and adapts them for ... communication skills required in order to negotiate internally, often at a senior level. Developed communication and diplomacy skills are required in order to… 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, ... infrastructure against these growth initiatives and implementing enhancements where necessary. The Compliance Officer will be a member of the Legal, … 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 ... have a reporting line to a supportive and experienced compliance officer based in New York. You...key findings and areas of improvement to members of senior management within compliance + Monitoring and… 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 ... areas of concern. NYC Aging seeks a highly motivated Senior manager with broad-based experience in compliance ,...to fiscal oversight or of agency-wide significance, the Chief Compliance Officer duties and responsibilities will include… more
- Amazon (New York, NY)
- Description We are looking for a passionate and driven individual to lead our 2LoD Risk Function. The successful candidate will already be operating at Chief Risk ... Officer level at a financial services regulated company. They...deliver data driven insights that balance risk management and compliance concerns with supporting business growth and innovation. In… more
- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or ... compliance risk, and is represented by the Chief Compliance Officer as either a member or...team and other legal entities in the Americas to lead a coordinated effort throughout the organization. + Collaborates… more
- Citigroup (Jersey City, NJ)
- Serves as a senior CitiDirect & CitiConnect product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for ... as well as testing and audit. + Designing and lead compliance and control reviews. + Partnering...ability to navigate a complex organization; to influence and lead people across cultures at a senior … more
- Citigroup (Jersey City, NJ)
- Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for reviewing ... as well as testing and audit. + Designing and lead compliance and control reviews. + Partnering...ability to navigate a complex organization; to influence and lead people across cultures at a senior … more