- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** **Preferred Qualifications:** The Senior Compliance Officer TDS - Compliance within ... + Proficient in Word, Excel (VLookups) and PowerPoint The Senior Compliance Office provides advice, guidance and...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS ... team sits in Core Compliance and covers the TDS US businesses. This Senior Compliance Officer will also support other aspects of the Core Compliance … more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS ... working with regional testing teams across the globe. This Compliance Officer will also support other aspects...judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory… more
- 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 Officer for ... team lead directing the day-to-day activities of one Lead Compliance Officer **In this role, you will:**... issues in Public Finance; and ensure that escalated compliance issues receive immediate senior management attention.… more
- Citigroup (New York, NY)
- …(including the Chief Legal Officer , the Head of HR, the Chief Compliance Officer , other senior management, the Compensation, Performance Management and ... New York, Tampa, or Irving, the Ethics Sr Lead Officer will report to an Ethics Sr Group Manager...analysis of reports to be distributed to business committees, senior management, auditors and regulators, including on the Ethics… more
- Bloomberg (New York, NY)
- …Head of Employee Compliance .** **What's the Role?** **We are seeking a Compliance Officer with deep E-Comms Surveillance & Monitoring experience. You will be ... to you to make it happen.** **Bloomberg's Legal & Compliance Department plays a critical role in supporting our...program.** **Our Team** **As an Electronic Communications (E-Comms) Surveillance Officer , you'll be a critical member of the Employee… more
- JPMorgan Chase (Jersey City, NJ)
- …the status quo, and striving to be best-in-class. As a Control Room Senior Officer which is a part of the Compliance , Conduct and Operational Risk (CCOR) ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...+ Ability to establish credibility and strong partnerships with senior business leaders, control functions, and corporate partners globally.… 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, ... regulators. + Establishing and developing effective relationships within Citigroup senior management, front line, second line (including independent risk, finance,… more
- Bloomberg (New York, NY)
- …research intended for publication. - A track record of working with and advising senior business people on compliance matters. - Experience of identifying and ... anywhere else. It's up to you to make it happen. Bloomberg's Legal & Compliance Department plays a critical role in supporting our businesses and operations around… more
- BMO Financial Group (New York, NY)
- …the office each week is the expectation Our team is growing its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and ... and fiduciary obligations are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain current knowledge of… more
- City National Bank (New York, NY)
- …for new or revised laws and regulations. * Assist the Compliance Manager, Senior Compliance Officer , and Risk Assessment team with the evaluation of ... along with comparable line of business QA testing results. * Work with Senior Compliance Officer , Compliance Manager to maintain audit tracking logs… 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 ... 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… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 219504 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range shown is a ... support of the Bank's business strategies and objectives. Provide advice on compliance with governing regulations and Bank internal policies and procedures. **What… more
- NJ Transit (Newark, NJ)
- …and programmatic innovations. ROLES & RESPONSIBILITIES : + At the direction of the Senior Director, Deputy Chief Compliance Officer , and Chief Compliance ... as directed by the Chief Compliance Officer , Deputy Chief Compliance Officer or Senior Director, Compliance & Ethics. + Draft memoranda… more
- Citigroup (New York, NY)
- Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, ... be part of the Global Privacy and Responsible Data compliance team covering the North America Cluster. It will...to influence and lead people across cultures at a senior level + Experience in managing regulatory exams and… more
- SMBC (Jersey City, NJ)
- …Manage the Risk and Control Self-Assessment ("RCSA") process and draft reports for BSA/AML Compliance Officer and senior management review + Develop and ... benefits to its employees. **Role Description** Reporting to the Director of Compliance Program Management, the Compliance Program Management Associate assists… more
- HSBC (New York, NY)
- … Officer for the US Markets Treasury team. The US GDM Line of business Compliance Officer , MSS is the senior Risk Steward responsible for independently ... planet we all share. The Global Debt Market Line of Business Compliance Officer will have responsibility for advising business and support functions on… more
- Truist (New York, NY)
- …Shift:** 1st shift (United States of America) **Please review the following job description:** Senior Compliance Control Group Officer is a subject matter ... and ability to provide guidance in time critical situations. In addition, the Senior Compliance Control Group Officer will be involved in reviewing the… more
- Zurich NA (Parsippany, NJ)
- VP, Senior Underwriting Officer 120961 Zurich is currently looking for a Surety AVP Underwriting Officer OR VP, Senior Underwriting Officer to work ... will be filled at either the Surety AVP Underwriting Officer OR VP, Senior Underwriting Officer...location, role, skill set, and level of experience. In compliance with local laws, Zurich commits to providing a… more
- CUNY (New York, NY)
- Senior Vice President & Chief Operating Officer **POSITION DETAILS** The CUNY School of Medicine (SoM), located in the heart of Harlem, New York, is the only ... the diversity of our student body more closely. The Senior Vice President and Chief Operating Officer ...compliance within the department. + Consult with the Senior Associate Dean of Finance regarding the preparation of… more