- TD Bank (New York, NY)
- …providing advice and support, as required. **Job Details:** The Head of Compliance , Trade Surveillance and Communications, TDS ( US ) reports to the TDBG VP, ... **Work Location** : New York, New York, United States of America **Hours:** 40...promoting regulatory compliance by developing and maintaining compliance programs , including identifying and disseminating regulatory… more
- Scotiabank (New York, NY)
- …Scotia (the "BNS"). The position will provide support to the GBM&T in implementing Volcker Rule Compliance Program in the US and Canada. **What You'll Do** + ... global teams on enhancements to the Bank's enterprise Volcker Compliance Program and participate on work streams...family, financial, physical, mental, and social health needs. Location(s): United States : New York : New… more
- S&P Global (New York, NY)
- …discrimination protections under federal law. 10 - Officials or Managers (EEO-2 Job Categories- United States of America), PDMGDV102 - Senior Management (EEO Job ... **Grade Level (for internal use):** 14 **The** **Role** **:** Head of Product, Regulatory & Compliance **The...- (Strategic Workforce Planning) **Job ID:** 306862 **Posted On:** 2024-09-13 **Location:** New York, New York, United States… more
- Citigroup (New York, NY)
- … monitoring programs , identify reporting metrics associated with regulatory compliance program execution, and develop corrective action plans to address ... supporting the policy. + Providing guidance to the thematic Compliance programs on the resolution of open...Type:** Full time **Primary Location:** New York New York United States **Primary Location Full Time Salary… more
- Citigroup (Jersey City, NJ)
- …AML Compliance Risk Management direction as well as maintain the AML compliance program for the businesses + Translate AML strategy and goals across ... Risk Management **Time Type:** Full time **Primary Location:** Jersey City New Jersey United States **Primary Location Full Time Salary Range:** $170,000.00 -… more
- SMBC (New York, NY)
- …supports interaction between the Functions and 2nd LoD, including Risk Management and Compliance . Head of Functions Control Officer oversees each Functional area ... the Americas, SMBC Group has a presence in the US , Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed...portfolio of benefits to its employees. **Job Summary** The Head of Functions Control Officer is a leader, change… more
- SMBC (New York, NY)
- …and Testing, and Regulatory Change Management is a crucial role within the Compliance Department, reporting directly to the Head of Corporate Compliance ... the Americas, SMBC Group has a presence in the US , Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed...requirements. + Compliance Risk Assessment: Lead the Compliance Risk Assessment Program , identifying and evaluating… more
- Neuberger Berman (New York, NY)
- …closed-end fund structures. **Responsibilities:** + Managing all aspects of a registered fund compliance program , including: + Annual Rule 38a-1 compliance ... in client and prospect due diligence meetings + Coordinating compliance program within the framework of the...with all areas and personnel within the Legal and Compliance Department, including the global head of… more
- Amazon (New York, NY)
- …We own the roadmap and reporting mechanisms as well as non-tech compliance programs . The Senior PM will own program management of consultations related to ... Description Amazon is seeking an innovative and high-judgement Senior Program Manager (PM) to join the new Compliance Operations team within Amazon Privacy… more
- CIBC (New York, NY)
- …and Canadian Commercial & Wealth franchises. Reporting to the Head of US Compliance Examination Program , the Compliance Examination Specialist ... - and we have offices strategically located across the United States to serve clients coast to...is accountable for execution of the US Compliance Examination Plan established to ensure… more
- Wellington (New York, NY)
- … will support and provide leadership to Wellington Management's private investments compliance program , focusing on private credit. Wellington is expanding the ... misuse of material non-public information + Supporting Wellington's private investments compliance program (firmwide) regulatory risk areas including those that… more
- Wellington (New York, NY)
- …**About the Role** The Compliance Officer will support Wellington Management's compliance program , focusing on the rules and regulations governing US ... & Risk Group and will report to the Head of Investment Platform Compliance , Americas, working...future maintenance and improvements of Wellington's Investment Company Act compliance program , and ongoing support of Wellington's… more
- Mizuho Corporate Bank (Jersey City, NJ)
- …Duties Assist in various tasks as the need arises when requested by the Unit Head , Section Head or Manager COMPLIANCE : + Obtain a basic understanding ... and regulations should be directed to the Legal and Compliance Department. Attend Annual compliance Training presented...Other requirements Mizuho has in place a hybrid working program , with varying opportunities for remote work depending on… more
- HSBC (New York, NY)
- …the planet we all share. As the Head of Trust & Fiduciary Services ("TFS") United States ; which forms part of Global Private Banking (GPB). Based in USA, the ... with, and leverages, where applicable, the capabilities of the HSBC Group. As our US Head of Trust and Fiduciary Servicesyou will: + Ensure sustainable growth… more
- Mizuho Corporate Bank (New York, NY)
- …a timely manner. Conduct reviews on PDCA from each office semi-annually. + Liaise with MUSO Compliance in NY and Head Office Compliance Dept in Tokyo. + ... to MUSO's Regional CCO and other MDs at Americas Compliance Department in their efforts in effecting regional governance...Other requirements Mizuho has in place a hybrid working program , with varying opportunities for remote work depending on… more
- Bayer (Whippany, NJ)
- …hired will be required to verify identity and eligibility to work in the United States and to complete the required employment eligibility verification form upon ... hire. Bayer is an E-Verify Employer. **Location:** United States : New Jersey : Whippany || United States : Massachusetts : Cambridge **Division:**… more
- S&P Global (New York, NY)
- …discrimination protections under federal law. 10 - Officials or Managers (EEO-2 Job Categories- United States of America), IFTECH102 - Senior Management (EEO Job ... Group), SWP Priority - Ratings - (Strategic Workforce Planning) **Job ID:** 306674 **Posted On:** 2024-09-08 **Location:** New York, New York, United States more
- S&P Global (New York, NY)
- …Management (EEO Job Group) (inactive), 10 - Officials or Managers (EEO-2 Job Categories- United States of America), HUMRES102 - Senior Management (EEO Job Group) ... plus. **Compensation/Benefits** **Information:** (This section is only applicable to US candidates) S&P Global states that the...**Job ID:** 306676 **Posted On:** 2024-09-08 **Location:** New York, New York, United … more
- S&P Global (New York, NY)
- …discrimination protections under federal law. 10 - Officials or Managers (EEO-2 Job Categories- United States of America), IFTECH102 - Senior Management (EEO Job ... Group), SWP Priority - Ratings - (Strategic Workforce Planning) **Job ID:** 306673 **Posted On:** 2024-09-08 **Location:** New York, New York, United States more
- Morgan Stanley (New York, NY)
- …Legal and Compliance Division to ensure appropriate execution of the US Banks' financial crimes prevention program , including providing review and oversight ... sponsored benefit programs ./ **Job:** **Other* **Title:** *Global Financial Crimes: Head of US Banks Advisory* **Location:** *New York-New York*… more