- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to perform as the Senior Lead Business Line Compliance ... lead directing the day-to-day activities of one Lead Compliance Officer **In this... issues in Public Finance; and ensure that escalated compliance issues receive immediate senior management attention.… more
- Wells Fargo (New York, NY)
- **About this role:** This Senior Lead Compliance Officer position will provide IRM coverage of FINRA licensed bankers in Corporate and Investment Banking ... + Develop, oversee, train, and provide expert business and regulatory compliance advice. Provide independent credible challenge of business activities. + Establish,… more
- Citigroup (New York, NY)
- Serves as a senior risk officer for Legal Regulatory Requirements and Obligations (Legal RRO) Advisory responsible for establishing internal strategies, ... in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level + Experience in managing… more
- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or ... compliance risk, and is represented by the Chief Compliance Officer as either a member or...team and other legal entities in the Americas to lead a coordinated effort throughout the organization. + Collaborates… more
- Citigroup (New York, NY)
- Serves as a senior product compliance risk officer...as well as testing and audit. + Designing and lead compliance and control reviews. + Partnering ... in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level + Experience in managing… more
- Bloomberg (New York, NY)
- …and correspond with regulators. We are seeking a Trade / Export Control Compliance Officer who is adept in US export control regulations specifically ... compliance across the various Bloomberg businesses. The Compliance Officer will maintain compliance ...all Bloomberg entities globally. **We'll Trust You To:** + Lead Trade Compliance Program regarding export control… 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 ...Ability to self-start, think creatively and initiate projects that lead to improved scalable workflows + Highly organized and… more
- HUB International (Fairfield, CT)
- …visible, leadership position, reporting directly into Global/Executive Chief Compliance Officer of RPW, working closely RPW senior leadership to collectively ... community. **About HUB Retirement & Private Wealth (RPW):** We lead our communities with integrity, driven to make things...all. This is a unique opportunity for an experienced compliance leader to join a multi-billion-dollar, high growth, dynamic… 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 ... transparency, and control, as well as ensure alignment with Citi standards and compliance with key regulatory requirements. In fulfilling this mandate, the role will… more
- Citigroup (New York, NY)
- Serves as a risk officer for Independent Compliance Risk Management (ICRM)'s Exam Management and Regulatory Liaison Office responsible for the promotion, ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...ability to navigate a complex organization; to influence and lead people across cultures at a senior … more
- Citigroup (New York, NY)
- …(ICRM) responsible for leading and managing business execution activities, supporting the Chief Compliance Officer and the Senior Leadership team for Banking ... and coordinating communications for the Banking & International Chief Compliance Officer and Senior Leadership...ability to navigate a complex organization; to influence and lead people across cultures at a senior … 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
- Tradeweb (New York, NY)
- Tradeweb Compliance is looking for a junior to mid-level compliance officer to support our core compliance functions across our regulated entities ... have a reporting line to a supportive and experienced compliance officer based in New York. You...key findings and areas of improvement to members of senior management within compliance + Monitoring and… 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 ... areas of concern. NYC Aging seeks a highly motivated Senior manager with broad-based experience in compliance ,...to fiscal oversight or of agency-wide significance, the Chief Compliance Officer duties and responsibilities will include… more
- Amazon (New York, NY)
- Description We are looking for a passionate and driven individual to lead our 2LoD Risk Function. The successful candidate will already be operating at Chief Risk ... Officer level at a financial services regulated company. They...deliver data driven insights that balance risk management and compliance concerns with supporting business growth and innovation. In… more
- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or ... compliance risk, and is represented by the Chief Compliance Officer as either a member or...team and other legal entities in the Americas to lead a coordinated effort throughout the organization. + Collaborates… more
- Citigroup (New York, NY)
- Serves as a senior Research, Marketing, and Content Compliance Officer for Independent Compliance Risk Management (ICRM) responsible for establishing ... as well as testing and audit. + Designing and lead compliance and control reviews. + Partnering...ability to navigate a complex organization; to influence and lead people across cultures at a senior … more
- Citigroup (New York, NY)
- Serves as a senior compliance risk officer ...ability to navigate a complex organization; to influence and lead people across cultures at a senior ... framework. This role will be part of the Global Privacy and Responsible Data compliance team covering the North America Cluster. It will be the primary contact for… more
- JPMorgan Chase (New York, NY)
- …outside the box, challenging the status quo and striving to be best-in-class. As a Lead Credit Officer within the Risk Management team, you would be at the ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...Office investments across the fixed income spectrum. Engage with senior members of Treasury/Chief Investment Office Credit Risk and… more
- MetLife (New York, NY)
- …and adherence to the firm's standards for employee conduct risk management. The Lead Compliance Consultant is responsible for advising Human Resources and the ... Role Value Proposition: Compliance Risk Management (CRM) delivers a compliance...officers across the globe. Key Responsibilities: * Serve as lead CRM subject matter expert on the key pillars… more