- Wilmington Savings Fund Society (Wilmington, DE)
- …services, investment management, trust and estate planning, brokerage and investment services to individual, corporate , and institutional clients through ... multiple integrated businesses. The Trust Officer will be responsible for daily administration of personal trust accounts of moderate to high complexity, profile,… more
- Truist (Richmond, VA)
- …America) **Please review the following job description:** Responsible for conducting compliance risk oversight of assigned business units and/or functions. Executes ... compliance risk management activities to reasonably ensure compliance with the Compliance Risk Management Policy and Framework. **LOCATION:** **We are… more
- City of New York (New York, NY)
- …of plan beneficiaries and the City of New York. Reporting directly to the Chief Investment Officer , the Deputy Chief Investment Officer (DCIO) will ... limited to, capital calls and distributions, amendment requests, consent notices and compliance with investment agreements; Measure and present financial and… more
- USAA (San Antonio, TX)
- …evaluating, selecting, onboarding and use of software and quantitative tools used in investment management to drive governance, compliance , risk management, and ... Member funds) as defined within the Enterprise Sensitive Positions Mandatory Time-Away Compliance Policy. Employees in Sensitive Positions are required to fulfill a… more
- Wellington (Boston, MA)
- …aligns our perspectives with those of our clients. **About the Role** The Compliance Officer will support Wellington Management's compliance program, ... these growth initiatives and implementing enhancements where necessary. The Compliance Officer will be a member of...Risk Group and will report to the Head of Investment Platform Compliance , Americas, working closely with… more
- Wellington (Boston, MA)
- …of our clients. **About the Role** **Core Regulatory Compliance Officer ** company overview Wellington Management offers comprehensive investment management ... approximately $1.2 trillion in public investments. Position overview The Compliance Officer will be a member of...drive coordinated outcomes Qualifications + 8+ years of relevant investment adviser compliance experience; mutual Fund and… more
- Bank of America (San Francisco, CA)
- Credit Risk Officer - Corporate / Commercial New York, New York;Dallas, Texas; San Francisco, California **Job Description:** At Bank of America, we are guided ... resolve portfolio issues + Managing a portfolio of 15 - 20 corporate clients conducting financial analysis, tracking portfolio company performance, assessing ongoing… more
- Wellington (Boston, MA)
- …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 ...as appropriate **Qualifications** + 12+ years of legal and compliance experience working at an investment adviser… more
- CIBC (Chicago, IL)
- …based in Toronto, Ontario, Canada. **What You'll Be Doing** The PWM Chief Compliance Officer ("CCO") is responsible for developing, implementing, and maintaining ... collectively "CIBC Risk", incurred by CIBC's businesses, functional and corporate governance groups. US Compliance delivers on...rules and regulations; + **Working** with the US Chief Compliance Officer and the Director of US… more
- SMBC (New York, NY)
- …to its employees. **Role Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of ... Asia, the Group offers a range of commercial and investment banking services to its corporate , institutional,...the compliance program for an investment advisory firm… 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 & ... working together to deliver priority change initiatives for the office of the Chief Compliance Officer . In addition, this role plays engages with ICRM product… more
- Wells Fargo (Minneapolis, MN)
- …report to the Governance & Risk Programs Senior Manager. The Corporate & Investment Banking (CIB) Chief Risk Officer (CRO) Governance & Risk Programs Senior ... activities. The function is led by the Chief Risk Officer , who reports to the chair of the Risk...role will develop specific subject matter expertise for the Corporate & Investment Banking Group including understanding… 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 ... services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets. At Scotiabank,… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a **Lead Compliance Officer ** in Corporate Risk as part of ** Corporate & Investment Banking (CIB) ... areas and business divisions at wellsfargojobs.com . This Lead Compliance Officer will conduct monitoring activities of... with federal, state, agency, legal and regulatory and Corporate Policy requirements + Oversee the Front Line's execution… more
- JPMorgan Chase (Newark, DE)
- …fulfill the Bank's regulatory requirements. The job responsibilities of this Sanctions Compliance Officer position involve the completion of processes around ... status quo and striving to be best-in-class. As a Compliance - OFAC Sanctions Officer - Associate...small businesses and many of the world's most prominent corporate , institutional and government clients under the JP Morgan… 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 ... Asia, the Group offers a range of commercial and investment banking services to its corporate , institutional,...Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… more
- JPMorgan Chase (Jersey City, NJ)
- Bring your expertise to JPMorgan Chase; as part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging...& Business Management team supports the firm's Chief Risk Officer , RM&C Chief Financial Officer and the… 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 ... Asia, the Group offers a range of commercial and investment banking services to its corporate , institutional,...Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… more
- SMBC (Jersey City, NJ)
- …of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate , institutional, and municipal clients. It ... its employees. **Role Description** SMBC Group is seeking a Compliance Transformation Officer for the Compliance...several key compliance risk types, including consumer compliance , investment banking related compliance ,… more
- JPMorgan Chase (Jacksonville, FL)
- …the box, challenging the status quo and striving to be best-in-class. As a Compliance Risk Management Senior Officer within the Compliance , Conduct and ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...strong partnerships with senior business leaders, control functions, and corporate partners globally + Ability to manage numerous reviews… more
