- Marex (New York, NY)
- …more information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Surveillance Compliance officer to join their team in New ... Surveillance reviews to the Head of US Surveillance . + Clearly delineated by date, business ...of False Positives without decreasing True Positives. + Provide Surveillance expertise to BD and FCM Advisory Compliance… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and ... Other job-related duties may be assigned as required. **Job Family Group:** Compliance and Control **Job Family:** Surveillance **Time Type:** Full time… more
- Bloomberg (New York, NY)
- SEF Compliance Surveillance Lead and Advisory Compliance Officer - Legal & Compliance **New York, NY** Posted Apr 25, 2024 - Requisition No. 124842 ... We are looking for a Swap Execution Facility (SEF) Compliance Officer to join our SEF ...Assist with investigations and disciplinary actions + Provide advisory compliance services to the business + Review,… more
- Citigroup (Getzville, NY)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Personal Trading & Outside Activities team responsible for assisting ... include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the supported function/ business /product and guidance… more
- Saratoga Casino Hotel (Saratoga Springs, NY)
- …Saratoga Casino Hotel welcomes you to apply! Your Role: Our successful Surveillance Officers promote outstanding relations with all guests and fellow Team Members ... Role: + At least 18 years of age + Previous experience in casino surveillance preferred. + Excellent written and verbal communication skills required. + Ability to… more
- MetLife (Bridgewater, NJ)
- …. CRM is part of Global Risk Management (GRM). The Broker Dealer Compliance Officer will be responsible for supporting the broker-dealer compliance ... are not limited to, conflicts of interest, electronic communication surveillance , outside business activities, and the OSJ...stakeholders. The Role: Reporting directly to the VP, Chief Compliance Officer of MLIDC and Head of… more
- Guardian Life (New York, NY)
- The Chief Compliance Officer of Park Avenue Securities (PAS) will be responsible for representing the firm to regulatory bodies and other key constituents as ... and other regulations, and ensure our organization remains in compliance . The Chief Compliance Officer ...in leading a team of associates providing guidance to business partners; oversight/ surveillance to the firm's daily… more
- S&P Global (New York, NY)
- **About the Role:** **Grade Level (for internal use):** 12 **The Role: Compliance Officer ** The Compliance Officer role is based in Englewood or New York ... Working with Compliance Officers both in North America and globally, the Compliance Officer will be the primary liaison point between any assigned Ratings… more
- ADM (Decatur, IL)
- **86603BR** **Job Title:** AFS Compliance Officer - Chicago, IL **Department/Function:** Legal, Compliance , Regulatory Affairs, Corporate Security **Job ... Description:** **AFS Compliance Officer - Chicago, IL** This is an exempt level...place for you. **Job Responsibilities:** + Monitor and conduct surveillance to help ensure regulatory compliance +… more
- Capital One (New York, NY)
- …(22957), United States of America, New York, New York Commercial Broker Dealer Chief Compliance Officer - Sr. Director The Sr. Director will be the Commercial ... Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional...compliance support to the Capital Markets line of business , a division within the Commercial Bank of Capital… more
- Tarbell Management Group LLC (Hogansburg, NY)
- Loss Prevention and Security Officer Job Details Level Entry Job Location Tarbell Management Group - Hogansburg, NY Position Type Full Time Education Level Not ... Job Category Other Description JOB SUMMARY As the Loss Prevention/Security Officer , your role involves monitoring Tarbell Management Group's facilities utilizing… more
- Morgan Stanley (New York, NY)
- …Morgan Stanley sponsored benefit programs.#LI-JB3 **Job:** **Other* **Title:** *Volcker Compliance Officer (Vice President)* **Location:** *New York-New York* ... a Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines, legal...support functions on the development of Volcker controls and surveillance . > Working with compliance training staff… more
- Citigroup (Jersey City, NJ)
- … compliance training resources and tools available centrally to support country/ business compliance programs training and research needs. + Additional duties ... Serves as a compliance risk officer for Independent ...Independent Assessment (CIA) function and with other stakeholders including Business process owners and Internal Audit function. + Identifying… more
- Citigroup (Getzville, NY)
- Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM)'s Delegated Controls Independent Assessment (CIA) team ... responsible for assessing compliance risks and controls implemented by the first and...testing, monitoring and audit reports for a portfolio of business activities, which meet the requirements of the Boards… more
- Citigroup (Tampa, FL)
- … compliance training resources and tools available centrally to support country/ business compliance programs training and research needs. . Additional duties ... Serves as a compliance risk officer for Independent ...- Branch Examinations function and with other stakeholders including Business process owners and Internal Audit function. . Identifying… more
- Citigroup (Getzville, NY)
- … compliance training resources and tools available centrally to support country/ business compliance programs training and research needs. + Additional duties ... Serves as a compliance risk officer for Independent ...relationships within CIA function and with other stakeholders including Business process owners and Internal Audit function. + Identifying… more
- Citigroup (Tampa, FL)
- … compliance training resources and tools available centrally to support country/ business compliance programs training and research needs. + Additional duties ... Serves as a compliance risk officer for Independent ...surveillance systems, and reporting activities. + Knowledge of Compliance laws, rules, regulations, risks and typologies and private… more
- Robert Half Management Resources (Miami Lakes, FL)
- …preparation of Suspicious Activity Reports or other regulatory reports to ensure compliance with internal and regulatory requirements regarding the Bank Secrecy Act. ... as well as determine if an inquiry to account officer and/or investigation is warranted. + Conduct in-depth research...in project management * Ability to create and manage Business Requirement Document * Skilled in Configuration Management for… more
- Morgan Stanley (Houston, TX)
- …Risk Officer and/or the Regional Risk Officer * Focuses on business ethics and regulatory and compliance practices * Provides coaching and guidance on ... has dual reporting to the Complex Manager and Senior Complex Risk Officer . *DUTIES and RESPONSIBILITIES:* * Surveillance and Supervision* * Primary responsibility… more
- Morgan Stanley (Jacksonville, FL)
- …Risk Officer and/or the Regional Risk Officer * Focuses on business ethics and regulatory and compliance practices * Provides coaching and guidance on ... reporting to the Complex Manager and Senior Complex Risk Officer . *DUTIES and RESPONSIBILITIES* ** * Surveillance and...compliance . * Together with the Senior Complex Risk Officer facilitates the training on Morgan Stanley Wealth Management… more