- 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
- MetLife (New York, NY)
- …. 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
- 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
- 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 (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 ...relationships within CT function and with other stakeholders including Business process owners and Internal Audit function. + Identifying… more
- Morgan Stanley (New York, NY)
- …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
- BMO Financial Group (New York, NY)
- …surveillance activities to ensure program remains current and aligned with BMO Compliance Program. Works with business /group and internal partners to ensure ... requirements and developments. Maintains functional and regulatory expertise specific to business group, and refers to Compliance Policies & Procedures… more
- City of New York (New York, NY)
- …they are regularly reviewed and updated to address evolving threats and business needs. Monitor compliance with cybersecurity policies and procedures within ... organization, with faster decision-making, transparent public communications, and stronger surveillance and bridges to healthcare systems 2) Address and prevent… more
- J&J Family of Companies (New Brunswick, NJ)
- Sr. Director, Senior Safety Officer - Johnson & Johnson Enterprise Innovation - 2406193938W **Description** Johnson & Johnson, is recruiting for a Senior Safety ... Officer - Johnson & Johnson Enterprise Innovation (JJEI) to be...Johnson & Johnson and woven into how we do business every day. Rooted in Our Credo, the values of… more
- City of New York (New York, NY)
- …organization, with faster decision-making, transparent public communications, and stronger surveillance and bridges to healthcare systems 2) Address and prevent ... JOB DESCRIPTION: The Division of Finance, Bureau of the Agency Chief Contracting Officer is seeking to hire an exceptional procurement professional who is highly… more
- City of New York (New York, NY)
- …organization, with faster decision-making, transparent public communications, and stronger surveillance and bridges to healthcare systems 2) Address and prevent ... Job Description: The Bureau of the Agency Chief Contracting Officer (ACCO) within the Division of Finance is seeking...contact for M/WBE with the NYC Department of Small Business Services, the Mayor's Office of M/WBE, the Mayor's… more
- Bank of America (New York, NY)
- Vice President - Global Markets Credit Commodities Credit Officer Charlotte, North Carolina;New York, New York **Job Description:** At Bank of America, we are guided ... interface with the traders/marketers and other risk and support groups (ie Compliance , Finance, Operations, etc.). Incumbents typically have over five years of… more
- Citigroup (New York, NY)
- The CSIS Program Officer is a seasoned professional role. Applies in-depth disciplinary knowledge, contributing to the development of new techniques and the ... coordinate and contribute to the objectives of the function and overall business . Evaluates moderately complex and variable issues with substantial potential impact,… more
- City of New York (New York, NY)
- …organization, with faster decision-making, transparent public communications, and stronger surveillance and bridges to healthcare systems 2) Address and prevent ... Mental Hygiene to preserve the integrity of agency services and protect sensitive business data from current and emerging cyber threats, and to preserve the… more
- Bank of America (New York, NY)
- …Units and Control Functions (FLU/CF) leaders globally, coordinating with the FLU/CF Compliance and Operational Risk Officer teams, executing the CORM Program ... emerging risks. **Job Description Summary** The Volcker Enterprise Area of Coverage (EAC) Global Compliance & Operational Risk (GCOR) officer is a person who has… more