- 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, ... these growth initiatives and implementing enhancements where necessary. The Compliance Officer will be a member of...and will report to the Head of Investment Platform Compliance , Americas , working closely with other … more
- S&P Global (New York, NY)
- …of the Compliance & Risk senior management team, and the Designated Compliance Officer (DCO) - Americas & EMEA specifically. **Responsibilities will ... support to the New York office of the Ratings Compliance & Risk department, reporting to the Global Chief...senior leadership, including specific support for the DCO - Americas & EMEA, managing day-to-day activities in a timely… more
- SMBC (Jersey City, NJ)
- …employees. **Role Description** SMBC Group is seeking a Compliance Transformation Officer for the Compliance Department Americas Division ("CPAD"). This ... and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US,...team focuses on several key compliance risk types, including consumer compliance , investment… more
- SMBC (New York, NY)
- …and Compliance . **Scope** The AD Operations FCO will report to the Americas Division Head of Functions Control Officer with an indirect reporting line ... and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US,...its employees. **Job Summary** The AD Operations Function Control Officer (FCO) is a leader, change agent, and risk… more
- MUFG (New York, NY)
- …(DPPO). The Head of Americas DPPO leads the data privacy and protection compliance team for MUFG Americas , including the US, Canada, and Latin America. The ... position reports to the Global Chief Privacy Officer and plays a key leadership role in developing...Team responsible for responding to privacy incidents in the Americas region. + Working with Compliance stakeholders… more
- S&P Global (New York, NY)
- …Chief Analytical Officer , methodologies, models, and other analytical teams in Americas Public Finance and across Ratings. The successful candidate will have an ... **Grade Level (for internal use):** 14 **The Team:** The Americas Public Finance Ratings department has an opportunity for...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… 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 ... together to drive ambition for every future! **Purpose** The Conduct Compliance Officer coordinates tracking, measurement, and management for conduct-related… 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 ... and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US,...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 ... and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US,...Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… 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 ... and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US,...the compliance program for an investment advisory firm in Manhattan,… more
- SMBC (Jersey City, NJ)
- …for the Compliance Risk Assessment team ("CRA team") within the Compliance Department Americas Division ("CPAD"), reporting to the Executive Director, Head ... and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US,...of Risk and Control Assessment. As a Compliance Risk Assessment ("CRA") Vice President, this role will… 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 ... bridge to this key global market for trade and investment flows across the Americas and the world. Global Banking & Markets provides a full range of investment… more
- SMBC (Jersey City, NJ)
- …trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, ... organization's extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America,… more
- Marex (New York, NY)
- …(http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Executive Compliance Officer - Solutions Advisory position will ... Manage US Marex Solutions Business Line management relationships. + Collaborate to ensure Americas Compliance Calendar deadlines are achieved. + Create or assist… more
- SMBC (White Plains, NY)
- …trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, ... organization's extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America,… more
- SMBC (Jersey City, NJ)
- …related to overseeing timely implementation for SMBC. **Role Objectives** The Regulatory Officer role works with departments across SMBC Americas Division to ... and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US,...of benefits to its employees. **Role Description** The Regulatory Officer works with the Regulatory Change Management Team as… more
- SMBC (New York, NY)
- …trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, ... extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko...Description** SMBC is seeking a Director / Senior Credit Officer to cover Energy Corporates in North America. +… more
- Bank of America (New York, NY)
- Officer - Markets Support Analyst New York, New York **Job Description:** At Bank of America, we are guided by a common purpose to help make financial lives better ... degree of accuracy with customers and data to ensure compliance with regulations and policies. **Responsibilities:** + Performs set-up...NY - New York - 1133 Ave Of The Americas - 1133 Ave Of The Americas … more
- SMBC (New York, NY)
- …trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, ... organization's extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America,… more
- SMBC (New York, NY)
- …trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, ... extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko...check accuracy of work of the underwriting analyst and compliance to UW guidelines and standards and RACS, meet… more