- Wells Fargo (New York, NY)
- …seeking a Lead Control Management Officer . The Wells Fargo Business Control Management team is a front-line group that aligns to the Enterprise Functions ... Technology organization. This position will report to the Business Control Management Senior Manager and deliver risk and ...expertise to the WorkForce Experience and Productivity Solutions [WXPS] group . It is the responsibility of the BCM team… more
- Citigroup (New York, NY)
- The Business Risk and Control Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by ... **Job Family Group :** Risk Management **Job Family:** Business Risk & Control **Time Type:** Full time **Primary Location:** New York New York United States… 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 ... (ICRM) responsible for leading and managing business execution activities, supporting the Chief Compliance Officer and the Senior Leadership team for Banking &… more
- Marex (New York, NY)
- …the internal web and distributed to users. In addition, the Policies and Procedures Compliance Officer will maintain version control and ensure that standard ... visit www.marex.com (http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Compliance Officer - Policies and Procedures of… 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
- Citigroup (New York, NY)
- The Client Analytics & Lead Finance Officer Team - Senior Vice President position is a Finance Risk & Control role responsible for leading all aspects of ... for developing and enhancing governance processes to improve efficiency, transparency, and control , as well as ensure alignment with Citi standards and compliance… more
- Citigroup (New York, NY)
- …Risk processes. Qualifications: + 10+ years relevant experience in risk and control , regulatory, audit or compliance related disciplines; experience in ... Operations and Systems, Information Security Standards, Vendor/Outsourcing Management, Manager's Control Assessment (MCA), Legal and Regulatory Compliance . +… more
- EMCOR Group (Farmingdale, NY)
- **Description** **Job Title: Chief Financial Officer ** **Report to: Company President and CEO (with functional and fiduciary reporting relationship to CFO, EMCOR ... safety programs. Our current EMR is 0.68. **POSITION SUMMARY** The Chief Financial Officer (CFO) is responsible for directing the financial functions of the company… more
- Citigroup (New York, NY)
- …a plus + Other relevant certifications, or securities licenses a plus **Job Family Group :** Compliance and Control **Job Family:** Product Compliance ... Serves as a senior Research, Marketing, and Content Compliance Officer for Independent Compliance...well as testing and audit. + Designing and lead compliance and control reviews. + Partnering with… 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
- Wellington (New York, NY)
- …Therefore, a key responsibility of the role is to work with the Chief Compliance Officer to build-out, manage and execute the compliance infrastructure ... be a member of the Legal and Enterprise Risk Group and will report to the Private Investments Chief... and will report to the Private Investments Chief Compliance Officer , working closely with other … more
- Citigroup (New York, NY)
- …Clearing, among others). + Advanced degree (eg JD, MBA) strongly preferred **Job Family Group :** Compliance and Control **Job Family:** Product Compliance ... Serves as a senior product compliance risk officer for Independent ...Dealer Governing Body, Governing Body Subcommittee, Governing Body Working Group ); and, implementing/executing regulatory requirements for 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)
- …or legal/consulting firm, or a combination thereof; Advanced degree preferred **Job Family Group :** Compliance and Control **Job Family:** Compliance ... Serves as a senior compliance risk officer for Independent ...to Citi's Compliance Risk Policies and measuring compliance risk through a robust control framework… more
- Citigroup (New York, NY)
- …digesting and summarizing information/documentation responsive to regulatory requests. **Job Family Group :** Compliance and Control **Job Family:** ... Serves as a risk officer for Independent Compliance Risk Management...control issues with transparency. **Qualifications:** + Expertise of Compliance laws, rules, regulations, risks and typologies + Significant… more
- MUFG (New York, NY)
- …and your actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across the globe, ... a vision to be the world's most trusted financial group , it's part of our culture to put people...this role you will focus on internal and external compliance requirements, activities, and deliverables to ensure that Operations… more
- Citigroup (New York, NY)
- Serves as a compliance risk officer for Independent ...area of focus; Advanced degree a plus **Job Family Group :** Compliance and Control **Job ... reporting control issues with transparency. **Qualifications:** + Knowledge of Compliance laws, rules, regulations, risks and typologies + Must be a… more
- S&P Global (New York, NY)
- …Officers and the Risk & Internal Controls team globally, the Data & Technology Covering Compliance Officer will be a direct liaison and a point of escalation ... minimum of 8-10 plus years of experience in a compliance , control or data & technology governance...on time from a diverse set of internal client group . The ability to demonstrate a high degree of… 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 ... of wholesale products and services offered by the Scotiabank Group . Be part of an innovative, Global Capital Markets...of NIAs in line with the requirements of US compliance procedures. + Coordinate with Internal Control … more
- Citigroup (New York, NY)
- …NJ **Job Family Group :** Risk Management **Job Family:** Business Risk & Control **Time Type:** Full time **Primary Location:** New York New York United States ... The Wealth Client Segments Control Testing Utility is responsible for the testing...risk(s). + Develops and drives quality-checking routines to ensure compliance with all relevant policies, operating guides, and owned… more