- Bloomberg (New York, NY)
- Senior Compliance Officer - Trade / Export Control - Legal & Compliance **New York, NY** Posted May 17, 2024 - Requisition No. 125360 The energy of a ... rules and regulations, and correspond with regulators. We are seeking a Trade / Export Control Compliance Officer who is adept in US export control… more
- Hold Brothers (New York, NY)
- …goals are delivered. We are seeking a highly skilled and experienced public equities trading Compliance Officer to join our team. The Compliance Officer ... LLC, a leading self-clearing broker-dealer is looking for a Compliance Associate/ Officer to join the team. He/she...public equities trading + Experience using Trillium software for trade compliance management + Experience developing and… more
- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal ... with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating… more
- Guardian Life (New York, NY)
- The Chief Compliance Officer of Park Avenue Securities...those issues at PAS + Be engaged with industry trade groups and regulatory forums to shape PAS or ... FINRA, MSRB laws and other regulations, and ensure our organization remains in compliance . The Chief Compliance Officer of PAS will also play a key role in… 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 The ... We are looking for a Swap Execution Facility (SEF) Compliance Officer to join our SEF ...minimum of 7 years' derivatives, swaps and/or commodities products compliance + Experience conducting trade surveillance, real-time… more
- Marex (New York, NY)
- …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 York. The ... role will primarily focus on Surveillance ( Trade Activity and Communications) across a range of asset...opportunity to gain exposure to a wider range of compliance activities at a market-leading firm. Marex has unique… 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 ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… 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 ... and internal policies and procedures. + Oversee the development and maintenance of trade compliance programs, policies, and automated systems, including for both… 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 ... platform encompasses a number of surveillance related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, outside… more
- Bloomberg (New York, NY)
- Senior Compliance Officer - Bloomberg Tradebook - Legal & Compliance **New York, NY** Posted Apr 26, 2024 - Requisition No. 124879 The energy of a newsroom, ... up to you to make it happen. **What's the role?** Bloomberg's Legal & Compliance Department plays a critical role in supporting our businesses and operations around… more
- SMBC (Jersey City, NJ)
- …of benefits to its employees. **Role Description** SMBC Group is seeking a Compliance Transformation Officer for the Compliance Department Americas Division ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...("CPAD"). This team focuses on several key compliance risk types, including consumer compliance , investment… more
- SMBC (Jersey City, NJ)
- …a competitive portfolio of benefits to its employees. **Role Description** The Employee Compliance Officer will join a team that is responsible for implementing ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...attestations. This position reports to the Head of Employee Compliance in the SMBC Americas Division. **Role Objectives** +… more
- SMBC (New York, NY)
- …Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the ... rule, and be able to implement, and manage SMBC's compliance program for the Volcker Rule. On a day-to-day...and regional Volcker Offices on various aspects of Volcker compliance . The Director will be responsible for rigorously supporting… more
- SMBC (New York, NY)
- …Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the ... employees. **Role Description** This role will manage and oversee all Compliance -related issues (ie, Internal Audit, Compliance , self-identified and Regulatory),… more
- City of New York (New York, NY)
- …perform tasks and assignments in the fields of Cyber security Awareness, Governance, Compliance , and other relevant and required duties for the Cyber security ... posture. Governance: Establish and maintain governance frameworks to ensure compliance with regulatory requirements, industry standards, and internal policies within… more
- Citigroup (Uniondale, NY)
- **Citi Commercial Bank - Commercial Lending Management - Credit Officer , Consumer Products & Retail, SVP** **Description** Citi's US Commercial Bank (CCB) is a ... New York City, New York or San Francisco, California. The CLM Credit Officer facilitates the end-to-end lending process for a covered industry vertical through a… more
- Deloitte (New York, NY)
- …+ Foreign equivalent of the above certifications + CUSICO (Certified US Import Compliance Officer ) + Professional Accreditation in EU Customs Law (post masters) ... US and foreign multinational companies on global import and export strategies, compliance , and trade automation. Our team focuses on advising, implementing… more
- City of New York (New York, NY)
- …with assigned Special Officer to ensure that all reports are in compliance with required trainings. **IMPORTANT NOTES TO ALL CANDIDATES: Please note: If you are ... are permanent in the Civil Service title of Special Officer and will therefore be eligible to take the...not limited to: college transcript, experience verification or professional trade licenses. If after your interview you are the… more
- KPMG (New York, NY)
- …License) issued by US Customs and Border Protection, CUSICO (Certified US Import Compliance Officer ), CUSECO (Certified US Export Compliance Officer ... **Business Title:** Manager or Senior Manager, Global Trade Technology - SAP GTS **Requisition Number:** 112716 - 68 **Function:** Tax Services **Area of Interest:**… more
- KPMG (New York, NY)
- …License) issued by US Customs and Border Protection, CUSICO (Certified US Import Compliance Officer ), CUSECO (Certified US Export Compliance Officer ... Global Trade solutions such as SAP GTS in their daily trade and compliance activities + Work with clients; business resources to introduce innovative changes… more