- 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 ...and work/life resources powered by Spring Health + Wellness programs , including fitness program and equipment reimbursement… more
- S&P Global (New York, NY)
- …including assisting in providing a Compliance advisory service, in the education program , in reporting to regional senior management on compliance ... Role:** **Grade Level (for internal use):** 12 **The Role: Compliance Officer ** The Compliance ...responsible for supporting the implementation and monitoring of the Compliance Program primarily for S&P Global Ratings… more
- Bloomberg (New York, NY)
- Senior Compliance Officer -...entities globally. **We'll Trust You To:** + Lead Trade Compliance Program regarding export control restrictions as ... regulators. We are seeking a Trade / Export Control Compliance Officer who is adept in US...catalog + Lead the deemed export aspects of Trade Compliance Program + Design / Implement a… 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 ... ethics, policies and operating procedures. **The Impact:** As a Compliance Officer in the Control Room you...Compliance management information reports for various business and senior management stakeholders. + Analyse and report of relevant… more
- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or ... compliance risk, and is represented by the Chief Compliance Officer as either a member or...Legal and control function colleagues to enhance the overall Compliance program . + Escalates regulatory concerns and… more
- CIBC (New York, NY)
- …with the US Chief Compliance Officer and the Director of US Compliance Programs to develop, implement and maintain a comprehensive compliance ... based in Toronto, Ontario, Canada. **What You'll Be Doing** The PWM Chief Compliance Officer ("CCO") is responsible for developing, implementing, and maintaining… 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 ... our communities as evidenced by our award-winning pro bono program . The Global Compliance team within Bloomberg's...We are looking for a Swap Execution Facility (SEF) Compliance Officer to join our SEF … more
- Bloomberg (New York, NY)
- Senior Compliance Officer - Bloomberg...on compliance matters + Help maintain the compliance program , including the compliance manuals, ... our communities as evidenced by our award-winning pro bono program . The Global Compliance team within Bloomberg's... coverage with affiliated Bloomberg entities, and on central Compliance Practices and substantive programs . You may… 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 procedures to comply with internal requirements. + Prepare program updates for meetings with senior management,...and Skills** + Experience in designing, implementing, and managing Compliance programs related to PAD, OBA, political… more
- Citigroup (Jersey City, NJ)
- Serves as a Control Group compliance officer , specifically relating to research publications for the Independent Compliance Risk Management (ICRM) ... and Research Department needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and… 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 ... effective. + Developing and coordinating communications for the Banking & International Chief Compliance Officer and Senior Leadership Team. + Advising ICRM… more
- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing ... programs . + Serving as a subject matter expert on Citi's Compliance programs . Provides expert guidance on function/business/product regulations on a… 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 ... ("CPAD"). This team focuses on several key compliance risk types, including consumer compliance , investment banking related compliance , conduct, regulatory … more
- Citigroup (Queens, NY)
- The VP, Compliance AML Execution Officer is senior professional responsible for performing risk and compliance reviews in coordination with the broader ... + Summarize, in writing, clear and concise findings of the investigations + Advise senior management on next steps and provide recommendations on the next course of… more
- CUNY (Queens, NY)
- HR Chief Diversity Officer - Diversity and Compliance : York College/CUNY **POSITION DETAILS** York College, founded in 1966, is a center of academic excellence in ... the heart of Jamaica, Queens. One of the eleven senior colleges in The City University of New York,...supervision and direction to the Office of Diversity and Compliance which is responsible for promoting DEI programs… more
- Citigroup (New York, NY)
- …is a member of the ICRM leadership team working daily with the Citi Chief Compliance Officer and the ICRM leadership team related to the following: + Business ... programs . **Qualifications:** + Prior understanding and experience in executing Compliance Risk Management and Control Programs . + Ability to strategically… more
- JPMorgan Chase (New York, NY)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and… more
- Citigroup (New York, NY)
- …The Global Head of AML Risk Management - Wealth reports to Citi's Chief Compliance Officer (CCO) Anti-Money Laundering (AML) / Bank Secrecy Act (BSA) and ... AML risks and vulnerabilities and opportunities to leverage aspects of overall compliance programs for efficient and effective risk coverage.** **Review and… more
- Constructive Partnerships Unlimited (Manhattan, NY)
- … related billing documentation, as assigned by the Chief Compliance Officer .Create and utilize autive action from program /department senior staff ... Brief Assist with the implementation of the organization's Corporate Compliance Program . Will work under the direct...work under the direct supervision of the organization's Chief Compliance Officer . Shift Worked: EXEMPT 37.5 Weekly… more
- SMBC (New York, NY)
- …portfolio of benefits to its employees. **Role Description** SMBC would like to hire a Senior Compliance Program Manager who would be responsible for the ... execution of tasks to support senior management within the Americas Division Compliance Department (ie, Compliance Administrative Officer and Chief … more