- Wells Fargo (New York, NY)
- **About this role:** This Senior Lead Compliance Officer position will provide IRM coverage of FINRA licensed bankers in Corporate and Investment Banking ... (CIB), specifically for the coverage sectors within investment banking . **In this role, you will:** + Develop, oversee, train, and provide expert business and… 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 ... Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform...the Bank's business strategies and objectives. Provide advice on compliance with governing regulations and Bank internal policies and… more
- Citigroup (New York, NY)
- …leading and managing business execution activities, supporting the Chief Compliance Officer and the Senior Leadership team for Banking & International ICRM. ... be simpler, faster and effective. + Developing and coordinating communications for the Banking & International Chief Compliance Officer and Senior Leadership… more
- CIBC (New York, NY)
- …based in Toronto, Ontario, Canada. **What You'll Be Doing** The PWM Chief Compliance Officer ("CCO") is responsible for developing, implementing, and maintaining ... Banking and Wealth Management lines of business. US Compliance supports these lines of business by being proactive...rules and regulations; + **Working** with the US Chief Compliance Officer and the Director of US… more
- SMBC (New York, NY)
- …of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It ... Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for...and be responsible for leading all components of the compliance program for an investment advisory firm… more
- SMBC (Jersey City, NJ)
- …This team focuses on several key compliance risk types, including consumer compliance , investment banking related compliance , conduct, regulatory ... Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional,...its employees. **Role Description** SMBC Group is seeking a Compliance Transformation Officer for the Compliance… more
- SMBC (New York, NY)
- …of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It ... Group offers a diverse range of financial services, including banking , leasing, securities, credit cards, and consumer finance. The...compliance risk, and is represented by the Chief Compliance Officer as either a member or… more
- SMBC (New York, NY)
- …of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It ... Group offers a diverse range of financial services, including banking , leasing, securities, credit cards, and consumer finance. The...compliance risk, and is represented by the Chief Compliance Officer as either a member or… more
- Citigroup (Jersey City, NJ)
- …regulations, risks and typologies + Experience working in Capital Markets or other Investment Banking roles with experience on transactions and deal making ... Serves as a function/business/product compliance risk officer for Independent ...Experience working in a Control Group setting that covered Investment Banking transactions strongly preferred + Must… more
- Citigroup (Jersey City, NJ)
- …regulations, risks and typologies; + Experience working in Capital Markets or other Investment Banking roles with experience on transactions and deal making ... Serves as a senior function/business/product compliance risk officer for Independent ...Experience working in a Control Group setting that covered Investment Banking transactions strongly preferred + Excellent… 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 ... member of a CRA team. + Experience working in a Compliance Advisory role covering banking products/services (lending, deposits) is a strong plus (but not… more
- Morgan Stanley (New York, NY)
- …is a leading global financial services firm providing a wide range of investment banking , securities, investment management and wealth management services. ... an important part of our culture. The National Risk Officer is responsible for a wide variety of supervisory,... is responsible for a wide variety of supervisory, compliance and risk functions. In conjunction with the Senior… 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 ... history, SMBC Group offers a diverse range of financial services, including banking , leasing, securities, credit cards, and consumer finance. The Group has more… more
- SMBC (New York, NY)
- …of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It ... Group offers a diverse range of financial services, including banking , leasing, securities, credit cards, and consumer finance. The...rule, and be able to implement, and manage SMBC's compliance program for the Volcker Rule. On a day-to-day… more
- JPMorgan Chase (New York, NY)
- …Chase brands. Our history spans over 200 years and today we are a leader in investment banking , consumer and small business banking , commercial banking , ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging… 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 ... specialized experience in Financial Services + 4+ years of experience within Banking or Financial Services Regulatory Compliance , Governance, Legal, or related… more
- Citigroup (New York, NY)
- …with capital deployed across a variety of lending products appropriate for commercial banking relationships. The Funds UW Credit Officer is a critical partner ... Credit Management Counterparty Credit Risk - Funds Underwriting Credit Officer , Asset Management Companies, VP** **Description** Citi's Commercial Bank (CCB)… more
- Bank of America (New York, NY)
- …conditions, and relationship profitability to provide high quality credit approval to Corporate Banking , Investment Banking , Global Markets, and Treasury + ... Credit Sr. Officer Dallas, Texas;New York, New York; San Francisco,...clients. Key responsibilities include monitoring changes in credit profiles, compliance with credit agreements as well as structuring and… more
- City National Bank (Jersey City, NJ)
- …assets as of April 30, 2024. Founded in 1954, City National provides personalized banking , investment and trust services in select markets including Los Angeles, ... **BSA/AML OFFICER - WEALTH MANAGEMENT SUBSIDIARIES** **WHAT IS THE OPPORTUNITY?**...National Securities, CNR Securities, and City National Rochdale Funds compliance with the USA PATRIOT Act, US Economic Sanctions,… more
- JPMorgan Chase (New York, NY)
- …Chase brands. Our history spans over 200 years and today we are a leader in investment banking , consumer and small business banking , commercial banking , ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...and striving to be best-in-class. As a Lead Credit Officer within the Risk Management team, you would be… more