- NatWest Markets (Stamford, CT)
- US Chief Compliance Officer Closing date for applications: 07/08/2024 Stamford, United States Permanent Full Time \#R-00236989 Share: ... (https://jobs.natwestgroup.com/jobs/14634525- us - chief - compliance - officer /apply?tm\_src=0) Our people work differently depending on...people to thrive. This role is based in the United States and as such all normal… more
- CIBC (New York, NY)
- … compliance with SEC, OCC, and state of Delaware rules and regulations; + **Working** with the US Chief Compliance Officer and the Director of US ... incurred by CIBC's businesses, functional and corporate governance groups. US Compliance delivers on the global ...Toronto, Ontario, Canada. **What You'll Be Doing** The PWM Chief Compliance Officer ("CCO") is… more
- Institute of Electrical and Electronics Engineers (New York, NY)
- Temporary Executive Assistant to the General Counsel and Chief Compliance Officer - 240171 : N/A Description Job Summary: This temporary position supports ... the General Counsel and Chief Compliance Officer , its Managing...$60.00 per hour Job : Legal Primary Location : United States -New York-New York City : Schedule… more
- SMBC (New York, NY)
- …benefits to its employees. **Role Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all ... with and advise senior management and staff on all issues concerning US compliance rules, regulations, and procedures. + Develop and execute monitoring and… more
- Weill Cornell Medical College (New York, NY)
- Title: Chief Research Compliance Officer /Research Integrity Officer Location: Upper East Side Org Unit: General Research Compliance Work Days: ... role when Hired for NYC Offices **Position Summary** The Chief Research Compliance Officer /Research Integrity...University; to Qatar, where an international campus offers a US medical degree; and to programs in Tanzania, Haiti,… more
- Bloomberg (New York, NY)
- …to:** + Support the Global Head of Risk and Compliance Shared Services, the global Chief Compliance Officer , and the global Chief Risk Officer , ... Risk Assurance and Testing Oversight Officer - Chief Risk Office **New...as evidenced by our award-winning pro bono program. The Chief Risk Office and Global Compliance team… more
- Citigroup (New York, NY)
- …ICRM CAO is a member of the ICRM leadership team working daily with the Citi Chief Compliance Officer and the ICRM leadership team related to the following: ... + Independent Compliance Risk Management is Citi's second line ...Management **Time Type:** **Primary Location:** New York New York United States **Primary Location Full Time Salary… more
- HSBC (New York, NY)
- … of Staff Officefunction supports the US Chief Risk Officer and US Chief Compliance Officer on a broad array of activities required to ... President Risk and Compliance Chief...trait protected by applicable law. **Job Field:** Risk and Compliance **Primary Location:** North America- United States… more
- TD Bank (New York, NY)
- …guidance and analysis on regulatory/ compliance /technology issues. Position will support the Chief Compliance Officer (CCO) in ensuring the Bank's ... **Work Location** : New York, New York, United States of America **Hours:** 40...Officer is a key member of the TDS US Compliance Branch Inspections Team and Core… more
- SMBC (New York, NY)
- …the management of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various ... the Americas, SMBC Group has a presence in the US , Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed...Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… more
- Morgan Stanley (Purchase, NY)
- …RIAs. - Maintain and update the Compliance policies and procedures. - Support the Chief Compliance Officer with the annual review of the RIA ... **Job:** ** Compliance * **Title:** *Wealth Management Institutional RIA Compliance Officer * **Location:** *New York-Purchase* **Requisition ID:** *3254828* more
- Citigroup (New York, NY)
- …Management (ICRM) responsible for leading and managing business execution activities, supporting the Chief Compliance Officer and the Senior Leadership team ... deliver priority change initiatives for the office of the Chief Compliance Officer . In addition,...Type:** Full time **Primary Location:** New York New York United States **Primary Location Full Time Salary… more
- Wellington (New York, NY)
- …investments business. Therefore, a key responsibility of the role is to work with the Chief Compliance Officer to build-out, manage and execute the ... **About Us ** **Wellington Management** offers comprehensive investment management capabilities...Risk Group and will report to the Private Investments Chief Compliance Officer , working closely… more
- SMBC (New York, NY)
- … Compliance Department (ie, Compliance Administrative Officer and Chief Compliance Officer ). **Role Objectives** + Assist with the management ... the Americas, SMBC Group has a presence in the US , Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed...**Role Description** SMBC would like to hire a Senior Compliance Program Manager who would be responsible for the… more
- Citigroup (New York, NY)
- …**Role** The Global Head of AML Risk Management - Wealth reports to Citi's Chief Compliance Officer (CCO) Anti-Money Laundering (AML) / Bank Secrecy ... environment; provide up-to-date knowledge and expertise relevant to AML compliance and senior leaders.** **Liaise with US ...Mgmt **Time Type:** **Primary Location:** New York New York United States **Primary Location Full Time Salary… more
- SMBC (New York, NY)
- …the management of the broker dealer's compliance risk and is represented by the Chief Compliance Officer as either a member or observer of various ... the Americas, SMBC Group has a presence in the US , Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed...portfolio of benefits to its employees. **Role Description** The Compliance group within SMBC Nikko Securities Inc. serves as… more
- GE Aerospace (Norwalk, CT)
- …GE Aerospace ombuds and open reporting program and will report to the Chief Compliance Officer . **Job Description** **Essential Responsibilities** + Develop ... **Job Description Summary** Global Compliance , Investigations & Ombudsman Leader will set the...those who are legally authorized to work in the United States for this opening. Any offer… more
- City of New York (New York, NY)
- …perform tasks and assignments in the fields of Cyber security Awareness, Governance, Compliance , and other relevant and required duties for the Cyber security ... posture. Governance: Establish and maintain governance frameworks to ensure compliance with regulatory requirements, industry standards, and internal policies within… more
- S&P Global (New York, NY)
- …to Technology Risk, Cybersecurity, and Data Governance.** **The Team:** **Reporting to the SVP, Chief Risk & Compliance Officer this role will be responsible ... the organization and provide key technology risk insights to Chief Risk & Compliance Officer ,...Group) (inactive), 10 - Officials or Managers (EEO-2 Job Categories- United States of America), RSKMGT102 - Senior… more
- City of New York (New York, NY)
- …New York State Bar; and either "2" or "3" below. 2. One year of satisfactory United States legal experience subsequent to admission to any state bar; or 3. Six ... include serving in the position of Records Access and Chief Privacy Officer for the Department. Under...revised policies - Assisting the Department in rulemaking, regulatory compliance , and risk management - Assisting the Department in… more