- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a Lead Control Management Officer . This position will be in the CIB Markets Business Control organization, partnering ... Markets Division products. + Experience in large and complex banking or broker/dealer institutions, risk management leadership experience in multi-jurisdictional… more
- TD Bank (New York, NY)
- …**Line of Business:** Compliance **Job Description:** **Department Overview:** The Fair Banking Compliance Officer provides second line oversight and ... support to TD Bank's compliance and business units related to fair lending and...on a team that provides independent oversight of fair banking and support for other Fair Banking … more
- JPMorgan Chase (New York, NY)
- …(GCB) Product and Coverage teams to support the execution of Investment and Corporate Banking transactions across Equity Capital Markets, Debt Capital Markets, ... product bankers, Wholesale KYC Operations (WKO) Client Office and Compliance teams in region to meet local or product...+ Previous experience and sound knowledge of investment and corporate banking products (Acquisition and Leveraged Finance,… more
- Scotiabank (New York, NY)
- Senior Manager, Conduct Compliance Officer **Requisition ID:** 210173 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range shown is a ... clients. Our products include debt and equity financing, mergers & acquisitions, corporate banking , institutional equity sales, trading and research, fixed… more
- Citigroup (New York, NY)
- …a top economics, business, or financial engineering program **Job Family Group:** Institutional Banking **Job Family:** Corporate Banking **Time Type:** Full ... and other types of financial transactions in coordination with the Institutional Banking team. The Senior Banker also serves as an intermediary in trading… more
- MUFG (New York, NY)
- …who will be responsible for: Maintaining and servicing existing portfolio as Marketing Officer ("MO"). Supporting corporate banking business operations and ... various internal parties and face customers to conduct daily corporate banking operations, including the boarding of...team. + Assist with duties or inquiries related to compliance matters. Ensure adherence to all bank policies and… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... clients. Our products include debt and equity financing, mergers & acquisitions, corporate banking , institutional equity sales, trading and research, fixed… 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 ... the Group offers a range of commercial and investment banking services to its corporate , institutional, and...Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… 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 ... the Group offers a range of commercial and investment banking services to its corporate , institutional, and...Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… more
- SMBC (Jersey City, NJ)
- …relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate , institutional, and municipal clients. It connects ... its employees. **Role Description** SMBC Group is seeking a Compliance Transformation Officer for the Compliance...several key compliance risk types, including consumer compliance , investment banking related compliance ,… more
- SMBC (Jersey City, NJ)
- …relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate , institutional, and municipal clients. It connects ... member of a CRA team. + Experience working in a Compliance Advisory role covering banking products/services (lending, deposits) is a strong plus (but not… 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 Group offers a range of commercial and investment banking services to its corporate , institutional, and...the compliance program for an investment advisory firm in Manhattan,… more
- Siebert Williams Shank (New York, NY)
- …and experienced compliance professional to the team led by the Chief Compliance Officer . The selected candidates will be responsible for supporting the ... firm's overall compliance program including developing policies and procedures, communicating all...municipal & equity securities sales & trading, public & corporate finance groups, and training, testing and assessments. In… more
- JPMorgan Chase (Jersey City, NJ)
- Bring your expertise to JPMorgan Chase; as part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging...& Business Management team supports the firm's Chief Risk Officer , RM&C Chief Financial Officer , and the… more
- SMBC (Jersey City, NJ)
- …relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate , institutional, and municipal clients. It connects ... history, SMBC Group offers a diverse range of financial services, including banking , leasing, securities, credit cards, and consumer finance. The Group has more… more
- JPMorgan Chase (Brooklyn, NY)
- The compliance function supports the development and maintenance of a strong regulatory compliance culture by working closely with the business, legal, risk, ... controls, and audit functions to provide expertise on regulatory compliance matters. The compliance function develops and maintains practices to identify,… more
- SMBC (Jersey City, NJ)
- …relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate , institutional, and municipal clients. It connects ... specialized experience in Financial Services + 4+ years of experience within Banking or Financial Services Regulatory Compliance , Governance, Legal, or related… more
- SMBC (New York, NY)
- …relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate , institutional, and municipal clients. It connects ... supports interaction between the Functions and 2nd LoD, including Risk Management and Compliance . Head of Functions Control Officer oversees each Functional area… more
- Bank of America (New York, NY)
- …regulators **Required Qualifications:** + 10+ yrs experience in commercial and/or corporate banking credit for Credit Sr Officer , 7 + yrs experience in ... clients. Key responsibilities include monitoring changes in credit profiles, compliance with credit agreements as well as structuring and...commercial and/or corporate banking credit for Credit Risk Officer +… more
- SMBC (New York, NY)
- …relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate , institutional, and municipal clients. It connects ... Group offers a diverse range of financial services, including banking , leasing, securities, credit cards, and consumer finance. The...Description** SMBC is seeking a Director / Senior Credit Officer to cover Energy Corporates in North America. +… more