- 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 ... 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
- 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 ... with Compliance Officers both in North America and globally, the Compliance Officer will be the primary liaison point between any assigned Ratings Practice… more
- 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 ... correspond with regulators. We are seeking a Trade / Export Control Compliance Officer who is adept in US export control regulations specifically applicable to… 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 ... Brothers Capital, LLC, a leading self-clearing broker-dealer is looking for a Compliance Associate/ Officer to join the team. He/she will help with the delivery… more
- City of New York (New York, NY)
- …results driven safety or risk management professional to serve as Fleet Safety and Compliance Officer . Reporting to the Director of Fleet Services, the Fleet ... Safety and Compliance Officer will lead a small team...Safety and Compliance Officer will lead a small team of analysts responsible...and resolution across the agency. The Fleet Safety and Compliance Officer may also be required to… more
- S&P Global (New York, NY)
- **About the Role:** **Grade Level (for internal use):** 10 **The Role:** Compliance Officer - Control Room **The Team:** Control Room is part of the ... firm's code of business ethics, policies and operating procedures. **The Impact:** As a Compliance Officer in the Control Room you will be part of a global team… more
- City of New York (New York, NY)
- …add staff to fulfill critical functions. Position Summary The Assistant General Counsel and Compliance Officer reports directly to the General Counsel and is a ... Trust's legal and compliance department. The Assistant General Counsel and Compliance Officer will assist in managing the Trust's legal matters, focusing on … more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a **Senior Lead Compliance Officer ** in Corporate Risk as part of **Swap Dealer & Futures Commission Merchant ... areas and business divisions at wellsfargojobs.com . As a Senior Lead Compliance Officer , you will provide compliance oversight of Swap Dealer activities,… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a **Senior Lead Compliance Officer ** in Corporate Risk as part of **Wealth & Investment Management (WIM) ... career areas and business divisions at wellsfargojobs.com . This Senior Lead Compliance Officer will provide compliance leadership and guidance to 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 ... Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or process with a large… 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 ... state of Delaware rules and regulations; + **Working** with the US Chief Compliance Officer and the Director of US Compliance Programs to develop, implement… 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 FINRA registered broker-dealers and provide compliance support to the Capital… 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 ... other regulated offerings globally. We are looking for a Swap Execution Facility (SEF) Compliance Officer to join our SEF Compliance team. In this role, you… more
- City of New York (New York, NY)
- …of the Director, Investigations and Compliance Unit, the Investigations and Compliance Officer will: - Manage relationships with agency EEO personnel, ... workforce across over 80 agencies (mayoral or non-mayoral). The Investigation and Compliance Unit, to which this position belongs, updates and provides guidance to… more
- Insight Global (New York, NY)
- Job Description A commercial banking client is looking for a Compliance Officer to join their organization this person will be assisting the Chief Compliance ... will be involved and exposed to all areas of compliance including BSA, AML, KYC and OFAC. The role...closely with OCC for annual review. Oversight of other compliance individuals while CCO is unavailable We are a… more
- HSBC (New York, NY)
- …all share. This position will have responsibility for working with the advisory compliance officer responsible for coverage of the Futures and Options business ... to regulatory inquires and examinations + Supporting the discharge of Chief Compliance officer regulatory duties (includes day-to-day activities of issue… more
- Truist (New York, NY)
- …States of America) **Please review the following job description:** The compliance officer is responsible for independently monitoring business information ... may have on assigned business units and/or functions. 3. Manage compliance risk management communications, training, documentation, procedures, and processes. 4.… 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* ... of our culture. Department Profile Professionals within Legal and Compliance provide a wide range of services to our...the firm's businesses. Background on the Team The Global Compliance Department manages a Firmwide Compliance Risk… 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, ... make it happen. **What's the role?** Bloomberg's Legal & Compliance Department plays a critical role in supporting our...evidenced by our award-winning pro bono program. The Global Compliance team within Bloomberg's Legal & Compliance … 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 ... and certifications and attestations. This position reports to the Head of Employee Compliance in the SMBC Americas Division. **Role Objectives** + Play a lead role… more