- 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
- Citigroup (New York, NY)
- …(ICRM) responsible for leading and managing business execution activities, supporting the Chief Compliance Officer and the Senior Leadership team for Banking & ... priority change initiatives for the office of the Chief Compliance Officer . In addition, this role plays...forums as needed + Participating in industry groups and trade association working groups or other forums as related… more
- Citigroup (New York, NY)
- Serves as a senior compliance risk officer facing WaW/Citigold/CPC for Independent Compliance Risk Management (ICRM) Sanctions responsible for establishing ... from across the Business. Work with contacts in the Business and Compliance to ensure consistent and effective application and implementation of, and controls… 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
- 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)
- …projects and initiatives + Assist with the management of key Compliance teams, including electronic communications surveillance, trade surveillance, regulatory ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...its employees. **Role Description** This senior role within the Compliance Department supports the Head of Surveillance, Data &… more
- New York State Civil Service (New York, NY)
- NY HELP Yes Agency Labor, Department of Title Investigative Officer 1/Trainee (Public Work Wage)- NYC (NY HELPS) Occupational Category Enforcement or Protective ... the below NY HELPS minimum qualifications. NY HELPS Minimum Qualifications:Investigative Officer Trainee (Public Work Wage): four years of qualifying experience* or… 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
- 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)
- …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
- 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
- KPMG (New York, NY)
- …License) issued by US Customs and Border Protection, CUSICO (Certified US Import Compliance Officer ), CUSECO (Certified US Export Compliance Officer ... using Global Trade Management (GTM) solutions in their daily trade and compliance activities + Work with client's business resources to introduce innovative… more
- SMBC (New York, NY)
- …Control/minimize various compliance risks arising out of daily execution of trade finance business including but not limited to Sanction/AML Risk, Third Party ... Objectives: Expertise** + Expert knowledge of the range of compliance areas relevant to Trade Finance, including...the range of compliance areas relevant to Trade Finance, including LATAM markets and developed markets and… more
- NJ Transit (Newark, NJ)
- Chief, Civil Rights Officer President/CEO's Office Job Description: Move forward with us! At NJ TRANSIT, you'll join us in transforming the third-largest ... We are currently looking for a Chief, Civil Rights Officer to join our team! Roles and Responsibilities: +...to DBE, Title VI/EJ, ADA, and SBE/DVOB public agency compliance . + Analyze complex issues, identifies problems, implements solutions,… 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 ... using Global Trade Management (GTM) solutions in their daily trade and compliance activities + Work with clients; business resources to introduce innovative… more