- SMBC (New York, NY)
- …findings or recommendations; + M&T findings or recommendations; and/or + Observations by Compliance officer or business staff member + Coordinate with relevant ... the Regulatory Governance team is responsible for production of Annual Compliance Reports and related senior officer certifications. **Responsibilities:** +… more
- Neuberger Berman (New York, NY)
- …join the Compliance Team in New York. This person will report into the Chief Compliance Officer - Central Compliance . In this role, the primary focus is ... to contribute to collaborative projects across the firm's global compliance program. **Primary Responsibilities:** + Review and analyze reports generated… more
- HSBC (New York, NY)
- …Global Equities franchise with a focus on the Equity Derivatives (EQD) business segment (EQD Compliance Officer ). The EQD Compliance Officer will be ... licensing/registrations, policies and procedures, training, conflicts, and supervision. The EQD Compliance Officer is responsible for making commercial decisions… more
- Unknown (New York, NY)
- …a growing fashion company with international presence, is seeking a Chief Operating Officer to lead and oversee global operations. The COO will be responsible for ... will establish Quality policies, integrate Sustainability initiatives, ensure regulatory compliance , and support strategic growth and international expansion. The… more
- SMBC (New York, NY)
- …of benefits to its employees. **Role Description** SMBC is seeking a Credit Officer to cover Commercial Real Estate. + Review and challenge of credit applications ... Credit Department. + Provide feedback and guidance, as necessary, to ensure compliance with internal policies and procedures standards. + Monitor and supervise… more
- Neuberger Berman (New York, NY)
- **Position Overview:** The Private Wealth Business Enablement Officer will play a key role in the Private Wealth business' technology budget, prioritization, ... acts as the connective tissue across Private Wealth, Technology, Operations, Compliance , Finance, and client-facing teams to source and validate requirements, size… more
- Cityscape Mortgage Corp. (Scarsdale, NY)
- …loan process, from origination to close, while paying close attention to the compliance of current lending policies and regulations. If you are a detail-oriented ... borrower to gather financial information and verify the accuracy of the loan officer 's application. Assemble and submit loan packages to the lender underwriters for… more
- HSBC (New York, NY)
- …New York, NY, US, 10001 Work style: Hybrid Worker Date: 12 Dec 2025 In compliance with applicable laws, HSBC is committed to employing only those who are authorized ... The position primarily supports US IWPB CEO (Chief Executive Officer ) and their OpCo and Global PB (Private Bank)...of stress testing and product transfer pricing + Ensure compliance , operational risk controls in accordance with HSBC or… more
- SMBC (New York, NY)
- …offers a competitive portfolio of benefits to its employees. **Role Description** The Officer of Accounting, Treasury, Tax will join at the Analyst level and handle ... similar application systems). + Knowledge of USGAAP, financial regulations, and compliance standards. + Experience with making journal entries and accounting basics… more
- SMBC (New York, NY)
- …to its employees. **Role Description** This position supports the Chief Credit Risk Officer as well as Co-Head(s) of CDAD as a business management and coordination ... trackers, and organizational diagnostics to support strategic initiatives. + Monitor compliance with policies and procedures related to problematic assets, including… more
- HUB International (New York, NY)
- …SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Chief Compliance Officer , will be a highly visible, senior leadership position, ... and enhancing the SEC compliance infrastructure. **Job Summary:** The **Chief Compliance Officer ** **for Retirement and Private Wealth** will be responsible… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS US Compliance ... US and global businesses, working with regional teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance … more
- TD Bank (New York, NY)
- …more specific details for this role. **Job Description:** **Position:** Senior FCRM Compliance Officer **Reports to:** Director, Financial Crime Risk Oversight, ... on financial crime risks of new products and mandates. The Senior FCRM Compliance Officer is responsible for supporting the firm's FCRM program and plays a key… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER -CREDIT CARDS* WHAT IS THE OPPORTUNITY? Position is responsible for performing risk analysis and assessment of compliance regulations, ... training for new or revised laws and regulations. * Assist the Compliance Manager, Senior Compliance Officer , and Risk Assessment team with the evaluation of… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance assists in ... to detail and ability to work independently. **General Job Posting:** The Compliance Officer supports consumer regulatory compliance functions for… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR-INVESTMENT ADVISORY* *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance oversight and ... also be responsible for managing and maintaining assigned areas of the compliance program including monitoring business area compliance with applicable laws,… more
- TD Bank (New York, NY)
- …you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS US ... global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance … more
- ManpowerGroup (New York, NY)
- **Jefferson Wells has a long-term contract opportunity for a Fractional Compliance Officer ** **Position Type:** Part-Time / Contract **Location:** NYC **Reports ... Administration **Rate** W2 65- 75 hr **Position Summary:** The Fractional Compliance Officer serves as a strategic advisor and operational leader responsible for… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR-MORTGAGE ORIGINATION* WHAT IS THE OPPORTUNITY? The Compliance Officer Senior - Mortgage is responsible for managing and ... maintaining assigned areas of the compliance program covering US Mortgage Banking including monitoring business area compliance with applicable laws and… more
- Banco Popular Puerto Rico (New York, NY)
- …4, 2025 Location: New York, NY, US, 10004 Company: Popular Workplace Type: Hybrid Senior Compliance Officer II - Regulatory US B Regulatory Compliance We are ... looking for a Senior Compliance Officer to join our Compliance Team. The role may be based in New York, NY or Miami Lakes, FL. The right candidate will… more
