- 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
- 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
- CIBC (New York, NY)
- …institution based in Toronto, Ontario, Canada. **What You'll Be Doing** The PWM Chief Compliance Officer ("CCO") is responsible for developing, implementing, ... SEC, OCC, and state of Delaware rules and regulations; + **Working** with the US Chief Compliance Officer and the Director of US Compliance Programs to… more
- Institute of Electrical and Electronics Engineers (New York, NY)
- Temporary Executive Assistant to the General Counsel and Chief Compliance Officer - 240171 : N/A Description Job Summary: This temporary position supports ... the General Counsel and Chief Compliance Officer , its Managing Counsels and the Legal and Compliance Department through a variety of tasks that require… 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
- SMBC (New York, NY)
- …benefits to its employees. **Role Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all ... components of the compliance program for an investment advisory firm in Manhattan,...near future. The CCO will foster a culture of compliance and ensure local regulatory compliance requirements… 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
- Citigroup (New York, NY)
- …Management (ICRM) responsible for leading and managing business execution activities, supporting the Chief Compliance Officer and the Senior Leadership team ... working together to deliver priority change initiatives for the office of the Chief Compliance Officer . In addition, this role plays engages with ICRM… more
- Wellington (New York, NY)
- …investments business. Therefore, a key responsibility of the role is to work with the Chief Compliance Officer to build-out, manage and execute the ... Legal and Enterprise Risk Group and will report to the Private Investments Chief Compliance Officer , working closely with other compliance professionals… 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
- 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
- HUB International (Fairfield, CT)
- …("RPW"), will be a highly visible, leadership position, reporting directly into Global/Executive Chief Compliance Officer of RPW, working closely RPW senior ... all. This is a unique opportunity for an experienced compliance leader to join a multi-billion-dollar, high growth, dynamic...growth, dynamic company within a rapidly expanding legal and compliance department. The SVP of Compliance ("SVP"),… more
- Touro University (Valhalla, NY)
- …12th Floor, New York, New York, 10036, ###@touro.edu (###) or, alternatively, to the Chief Compliance Officer at ###@touro.edu and ### x55330. Job Locations ... Overview Reporting directly to the Chief Development Officer & Ex, the Major Gifts Officer is responsible for cultivating and soliciting leadership major… more
- Touro University (Valhalla, NY)
- …12th Floor, New York, New York, 10036, ###@touro.edu (###) or, alternatively, to the Chief Compliance Officer at ###@touro.edu and ### x55330. Job Locations ... US-NY-Valhalla Requisition ID 2024-11295 Position Type Full-Time Schedule Shift 1 Hours Per Week 40 Travel 10% Category Facilities/Security/Food Service FLSA Status Non-Exempt 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
- 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 (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