- Truist (New York, NY)
- …States of America) **Please review the following job description:** The compliance officer is responsible for independently monitoring business information ... with oversight monitoring and mitigation strategies. 6. Assess process, procedure and control documentation and other related compliance issues and documentation… more
- SMBC (New York, NY)
- …supports interaction between the Functions and 2nd LoD, including Risk Management and Compliance . Head of Functions Control Officer oversees each Functional ... SMBC Group is a top-tier global financial group ....to its employees. **Job Summary** The Head of Functions Control Officer is a leader, change agent, and… more
- Wells Fargo (New York, NY)
- …business at wellsfargojobs.com **About this role:** Wells Fargo is seeking a Lead Control Management Officer to support Capital Markets Technology within the CIO ... assessing, managing, and mitigating current and emerging risk exposures within Control Management functional area + Provide risk management consulting to support… more
- S&P Global (New York, NY)
- **About the Role:** **Grade Level (for internal use):** 12 **The Role: Compliance Officer ** The Compliance Officer role is based in Englewood or New York ... Working with Compliance Officers both in North America and globally, the Compliance Officer will be the primary liaison point between any assigned Ratings… 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 ... Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage...related or new regulatory requirements. + Proactively engages with Compliance , Legal and control function colleagues to… 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 ... OCC, and state of Delaware rules and regulations; + **Working** with the US Chief Compliance Officer and the Director of US Compliance Programs to develop,… more
- Citigroup (New York, NY)
- …previous experience managing a diverse staff + Advanced degree a plus **Job Family Group :** Compliance and Control **Job Family:** Product Compliance ... Serves as a senior function/business/product compliance risk officer for Independent ...well as testing and audit. + Designing and lead compliance and control reviews. + Partnering with… more
- Citigroup (New York, NY)
- …+ Assist with the preparation of Annual Compliance Reports **Job Family Group :** Compliance and Control **Job Family:** Product Compliance ... Serves as a function/business/product compliance risk officer for Independent ...areas including: Legal, Business Management, Operations, Technology, Finance, other Control Functions, and In-Business Risk to address compliance… more
- Citigroup (New York, NY)
- …and the related operations and financial requirements; Advanced degree preferred **Job Family Group :** Compliance and Control **Job Family:** Product ... Serves as an Electronic Trading (ET) product compliance risk officer for Independent ...areas including: Legal, Business Management, Operations, Technology, Finance, other Control Functions, and In-Business Risk to address compliance… more
- Citigroup (New York, NY)
- …and the related operations and financial requirements; Advanced degree preferred **Job Family Group :** Compliance and Control **Job Family:** Product ... Serves as a Markets Fixed Income Product Compliance officer for Independent Compliance...areas including: Legal, Business Management, Operations, Technology, Finance, other Control Functions, and In-Business Risk to address compliance… more
- Citigroup (New York, NY)
- …and financial requirements + Advanced (MS, MBA, JD, etc.) Degree preferred **Job Family Group :** Compliance and Control **Job Family:** Product Compliance ... Serves as a compliance risk officer for Independent ...areas including: Legal, Business Management, Operations, Technology, Finance, other Control Functions, and In-Business Risk to address compliance… more
- Citigroup (New York, NY)
- …and financial requirements; Advanced degree preferred + MBA or JD a plus **Job Family Group :** Compliance and Control **Job Family:** Product Compliance ... Serves as a Markets Fixed Income Product Compliance officer for Independent Compliance...areas including: Legal, Business Management, Operations, Technology, Finance, other Control Functions, and In-Business Risk to address compliance… more
- SMBC (New York, NY)
- SMBC Group is a top-tier global financial group...rule, and be able to implement, and manage SMBC's compliance program for the Volcker Rule. On a day-to-day ... Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including...basis, the position works closely with various businesses and control functions to help ensure that the bank appropriately… more
- State of Connecticut, Department of Administrative Services (Bridgeport, CT)
- Police Officer (Multi-Facility) Office/On-site Recruitment # 240604-9035PS-001 Location Bridgeport, CT Hartford, CT Middletown, CT New Haven, CT Date Opened 6/7/2024 ... (https://portal.ct.gov/dmhas) ) is currently accepting applications for multiple Police Officer (https://www.jobapscloud.com/CT/specs/classspecdisplay.asp?ClassNumber=9035PS&R1=&R3=) positions. We are seeking dedicated and compassionate… more
- Wells Fargo (New York, NY)
- …**In this role, you will:** + Provide oversight and governance of a business group or manage companywide compliance programs + Establish, implement and maintain ... **About this role:** Wells Fargo is seeking **Senior** **Lead Compliance Officers** in Corporate Risk as part of **Equity Sales and Trading Compliance .** Learn… more
- MUFG (New York, NY)
- …heard and your actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the ... a vision to be the world's most trusted financial group , it's part of our culture to put people...Banking clients, Relationship Managers, Product Groups, Onboarding Unit, Quality Control , AML Advisory and other stakeholders + Partner with… more
- HSBC (New York, NY)
- …by containing compliance risk in liaison with the Head of Group Compliance , Global Business Compliance Officer + Area Compliance Officer ... or Local Compliance Officer , ensuring adequate compliance resources and training, fostering a compliance culture and optimizing relations with… more
- The Mount Sinai Health System (New York, NY)
- …monitors surveillance of infections assigned by hospital epidemiologist or hospital leadership. Compliance : + Ensures that infection control guidelines for all ... Infection Surveillance Officer Mount Sinai Beth Israel Strength Through Diversity...current and appropriate. + Ensures that JCAHO mandated Infection Control manual is complete and current. Education: + Conducts… more
- Citigroup (New York, NY)
- …+ Prior experience in working with Regulators and Internal Audit functions. **Job Family Group :** Compliance and Control **Job Family:** Compliance Risk ... ICRM leadership team working daily with the Citi Chief Compliance Officer and the ICRM leadership team...programs. **Qualifications:** + Prior understanding and experience in executing Compliance Risk Management and Control Programs. +… more
- Citigroup (New York, NY)
- …concerns and corrective action plans. + Update and maintain a robust Manager's Control Assessment (MCA) in compliance with the Citi Operational Risk Policy. ... issues with transparency. **Qualifications:** + 10+ years experience in Risk Management, Audit, Compliance or other control function + Familiarity with 3rd party… more