- CUNY (New York, NY)
- Deputy Director of Financial Aid and Compliance Officer **POSITION DETAILS** The City University of New York's (CUNY) Office of Student Financial Assistance ... education. CUNY is seeking a Deputy Director of Financial Aid and Compliance Officer who, reporting to the Executive Director of Financial Aid, is primarily… 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 ... with Compliance Officers both in North America and globally, the Compliance Officer will be the primary liaison point between any assigned Ratings Practice… more
- Bloomberg (New York, NY)
- Senior Compliance Officer - Trade / Export Control - Legal & Compliance **New York, NY** Posted May 17, 2024 - Requisition No. 125360 The energy of a ... correspond with regulators. We are seeking a Trade / Export Control Compliance Officer who is adept in US export control regulations specifically applicable to… more
- Hold Brothers (New York, NY)
- …goals are delivered. We are seeking a highly skilled and experienced public equities trading Compliance Officer to join our team. The Compliance Officer ... Brothers Capital, LLC, a leading self-clearing broker-dealer is looking for a Compliance Associate/ Officer to join the team. He/she will help with the delivery… more
- City of New York (New York, NY)
- …results driven safety or risk management professional to serve as Fleet Safety and Compliance Officer . Reporting to the Director of Fleet Services, the Fleet ... Safety and Compliance Officer will lead a small team...Safety and Compliance Officer will lead a small team of analysts responsible...and resolution across the agency. The Fleet Safety and Compliance Officer may also be required to… 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
- Morgan Stanley (Purchase, NY)
- …Maintain and update the Compliance policies and procedures. - Support the Chief Compliance Officer with the annual review of the RIA compliance program. ... **Job:** ** Compliance * **Title:** *Wealth Management Institutional RIA Compliance Officer * **Location:** *New York-Purchase* **Requisition ID:** *3254828* 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
- 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
- Bloomberg (New York, NY)
- SEF Compliance Surveillance Lead and Advisory Compliance Officer - Legal & Compliance **New York, NY** Posted Apr 25, 2024 - Requisition No. 124842 The ... other regulated offerings globally. We are looking for a Swap Execution Facility (SEF) Compliance Officer to join our SEF Compliance team. In this role, you… more
- City of New York (New York, NY)
- …of the Director, Investigations and Compliance Unit, the Investigations and Compliance Officer will: - Manage relationships with agency EEO personnel, ... workforce across over 80 agencies (mayoral or non-mayoral). The Investigation and Compliance Unit, to which this position belongs, updates and provides guidance to… more
- Insight Global (New York, NY)
- Job Description A commercial banking client is looking for a Compliance Officer to join their organization this person will be assisting the Chief Compliance ... will be involved and exposed to all areas of compliance including BSA, AML, KYC and OFAC. The role...with OCC for annual review. * Oversight of other compliance individuals while CCO is unavailable We are a… more
- Citigroup (New York, NY)
- Serves as a Markets Fixed Income Product Compliance officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal ... consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice… more
- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Surveillance Compliance officer to join their team in New York. The ... and venues with an opportunity to gain exposure to a wider range of compliance activities at a market-leading firm. Marex has unique access across markets with… more
- Bloomberg (New York, NY)
- Senior Data Privacy Compliance Officer - Legal & Compliance **New York, NY** Posted Jun 11, 2024 - Requisition No. 125883 The energy of a newsroom, the pace ... make it happen. What's the role? Bloomberg's Legal & Compliance Department plays a critical role in supporting our...by our award-winning pro bono program. The Data Privacy Compliance team works closely with our Legal counterparts, business… more
- SMBC (New York, NY)
- …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
- Morgan Stanley (New York, NY)
- …Morgan Stanley sponsored benefit programs.#LI-JB3 **Job:** **Other* **Title:** *Volcker Compliance Officer (Vice President)* **Location:** *New York-New York* ... of our culture. Department Profile Professionals within Legal and Compliance provide a wide range of services to our...the firm's businesses. Background on the Team The Global Compliance Department manages a Firmwide Compliance Risk… more
- Bloomberg (New York, NY)
- Senior Compliance Officer - Bloomberg Tradebook - Legal & Compliance **New York, NY** Posted Apr 26, 2024 - Requisition No. 124879 The energy of a newsroom, ... make it happen. **What's the role?** Bloomberg's Legal & Compliance Department plays a critical role in supporting our...evidenced by our award-winning pro bono program. The Global Compliance team within Bloomberg's Legal & Compliance … more
- City of New York (New York, NY)
- …Human Capital's Unemployment Insurance (UI) Unit to serve as a UI Compliance Officer /Hearing Representative. The Unemployment Insurance (UI) Unit is responsible ... for minimizing costs by monitoring claims for unemployment benefits from former City employees and representing the City at administrative hearings. The selected candidate's responsibilities will include, but not be limited, to the following: - Represent the… more
- Citigroup (New York, NY)
- Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal ... consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice… more