- MTA (New York, NY)
- Agency Chief Ethics, Risk and Compliance Officer Job ID: 9376 Business Unit: MTA Headquarters Location: New York, NY, United States Regular/Temporary: Regular ... 2024 Description JOB TITLE: Agency Chief Ethics, Risk & Compliance Officer SALARY RANGE: $140,000 - $165,000...responsibility in prior experience preferred. + Familiarity with the policies and procedures of MTA and the… more
- Family and Children's Association (Mineola, NY)
- …of an effective compliance program. + Develop, initiate, maintain, and revise policies and procedures for the general operation of the Compliance ... Compliance Officer The Opportunity FCA is...new and existing compliance issues and related policies and procedures . + Work with management… more
- Scotiabank (New York, NY)
- …in-person conduct-related compliance training. + Develop, draft, amend and maintain compliance policies , procedures and manuals related conduct risks. ... Senior Manager, Conduct Compliance Officer **Requisition ID:** 210173 **Salary...Participate in the review of compliance policies and procedures as… more
- NatWest Markets (Stamford, CT)
- Director Electronic Trading Compliance Officer , US Stamford,United States Permanent Full Time \#R-00241613 Share: ... of the department and the business. **Director, Electronic Trading Compliance Officer , US** Seeking an experienced ...to regulatory requirements and make necessary updates to internal policies and procedures . + Interface with regulatory… more
- City of New York (New York, NY)
- …to the Chief Executive Officer of the Housing Authority, the Chief Compliance Officer ("CCO") will be responsible for overseeing NYCHA's compliance ... compliance risks; developing and maintaining up to date procedures that are aligned with regulations and adopted by...state and federal regulations to ensure that NYCHA's operational policies and procedures are up to-date. Oversee… more
- Amalgamated Bank (New York, NY)
- …for ensuring Bank compliance with all applicable regulations as well as internal compliance policies and procedures . The CCO will lead all aspects of ... Amalgamated Bank seeks a Chief Compliance Officer (CCO) who will be...development, implementation, and maintenance of Consumer, Commercial, and Trust compliance policies and procedures . +… more
- Scotiabank (New York, NY)
- …personnel in scope for training. + Develop, draft, amend and maintain compliance policies , procedures and manuals outlining requirements, regulations, ... Senior Manager, Markets Compliance Officer **Requisition ID:** 204138 **Salary...and best practices. Provide comments to relevant business and compliance policies and procedures as… more
- Amalgamated Bank (New York, NY)
- …compliance with federal and state regulations, as well as all Bank compliance -related policies and procedures . Organize and execute day-to-day operational ... Amalgamated Bank is seeking a Compliance Officer to assist the Consumer...ensure existing and proposed deposit and lending-related business practices, policies , procedures , software systems, documents and disclosures… more
- SMBC (New York, NY)
- …+ Advises business units on the maintenance of their policies and procedures with focus on current compliance framework as reference point. + Coordinate ... compliance risk, and is represented by the Chief Compliance Officer as either a member or...knowledgeable resource. Incumbents may develop and exercise business plans, policies and procedures , as well as oversees… more
- Akumin (New York, NY)
- …and its subsidiaries and affiliates. Reporting to General Counsel, the Chief Compliance Officer is responsible for all aspects of development, implementation, ... Privacy Compliance (CHPC), Certified Fraud Examiner (CFE), Certified Professional Compliance Officer (CPCO), or Certified Professional Coder (CPC) **Physical… more
- 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, ... infrastructure against these growth initiatives and implementing enhancements where necessary. The Compliance Officer will be a member of the Legal, … 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 ... Group and will report to the Private Investments Chief Compliance Officer , working closely with other ...information; integrate those measures with the firm's "public side" policies and procedures to identify and prevent… more
- SMBC (New York, NY)
- …regulatory inquiries. + Advises on the maintenance of internal policies and procedures with focus on current compliance framework as reference point. + ... compliance risk, and is represented by the Chief Compliance Officer as either a member or...knowledgeable resource. Incumbents may develop and exercise business plans, policies and procedures , as well as oversees… more
- City of New York (New York, NY)
- …external audit, financial reporting and programmatic fiscal processes to serve as Chief Compliance Officer . The selected candidate for this position will use an ... matters related to fiscal oversight or of agency-wide significance, the Chief Compliance Officer duties and responsibilities will include but not be… more
- Citigroup (New York, NY)
- …as well as, provide transactional approvals and interpretation of internal compliance policies . + Assisting with regulatory inquiries and/or examinations. ... Serves as a function/business/product compliance risk officer for Independent ...Risk Management (ICRM) responsible for assisting with internal strategies, policies , procedures , processes, and programs to prevent… more
- Neuberger Berman (New York, NY)
- Chief Compliance Officer for over $55 billion...review; + Maintaining compliance manual and associated policies and procedures ; + Assist with the ... least five years' experience in role of senior lawyer with compliance responsibilities, or senior compliance officer (or CCO) for registered funds + Strong… more
- Marex (New York, NY)
- …transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non- compliance risks. ... US Marex Solutions Policies and Procedures and Written Supervisory Procedures . + Provide Compliance Advisory services for US Marex Solutions Trade… more
- Citigroup (New York, NY)
- Serves as a senior product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, ... policies , procedures , processes, and programs to prevent...+ Designing, developing, delivering and maintaining best-in-class Swap Dealer Compliance , programs, policies and practices for ICRM.… more
- Citigroup (New York, NY)
- Serves as a senior Research, Marketing, and Content Compliance Officer for Independent Compliance Risk Management (ICRM) responsible for establishing ... internal strategies, policies , procedures , processes, and programs to prevent...**Responsibilities include:** + Designing, developing, delivering and maintaining best-in-class Compliance , programs, policies and practices for ICRM.… more
- Siebert Williams Shank (New York, NY)
- …for supporting the firm's overall compliance program including developing policies and procedures , communicating all regulatory changes to the taxable ... professional to the team led by the Chief Compliance Officer . The selected candidates will be...regulations and interpretive guidance, as well as applicable internal policies and procedures * Review and approve… more