- DWS Group (New York, NY)
- Job Description: Employer: DWS Group Title: AFC Compliance Officer (AFC & Compliance Officer ) Location: New York City Job Code: #LI-LV2 #LI-02 About DWS: Today, ... differently. Opportunity to invest responsibly. And opportunity to make change . Join us at DWS, and you can be...(collectively referred to as Anti-Financial Crime) prevention. The DWS Management and all employees are required to adhere to… more
- SMBC (New York, NY)
- …Outside Business Activities and Personal Account Dealing) + Financial Crimes Compliance + Regulatory Change Management + Compliance Alerts and other ... of changes in response to new regulations and regulatory developments through the Regulatory Change Management process. + Provide regulatory advice… more
- HSBC (New York, NY)
- …deliver cost savings and efficiencies. Create low-code products to improve delivery of change management projects and process optimization. Keep a strong pulse ... **Description** **Litigation, Regulatory Enforcement and Investigations (LREI), HSBC Technology &...team. Prepare for Quarterly Business Reviews with Chief Legal Officer . Partner with lawyers and law firms to ensure… more
- Principal Financial Group (New York, NY)
- **What You'll Do** The AVP - Global Head of Investment Management Technology will be accountable for shaping and driving a forward-looking global technology ... investment management strategy that champions engineering excellence, agility, and innovation...and innovation in close partnership with the Chief Information Officer , investment and operations professionals, and business stakeholders. This… more
- HSBC (New York, NY)
- …sheet through monitoring risk-weighted assets (RWA) and deployment of appropriate risk management tools to price appropriately for risk and to selectively acquire ... risks in liaison with the Head of Group Compliance, Global Business Compliance Officer , Area Compliance Officer or Local Compliance Officer , ensuring… more
- SMBC (Jersey City, NJ)
- …regulations (eg, Federal Reserve Bank, NYDFS, FDIC, OCC) + Experienced in change management and continuous process improvement practices + Strong communication ... its employees. **Role Description** The Compliance - Functions Control Officer function plays a critical role in strengthening the...of risk assessment, issue management and incident management + Deep understanding of the regulatory … more
- Port Authority of New York and New Jersey (Jersey City, NJ)
- …of cybersecurity awareness, collaboration, and continuous improvement. Compliance and Regulatory Management : + Ensure cybersecurity operations comply with ... guidance on implementing risk mitigation strategies to reduce overall cybersecurity risk. Change Management and Security Architecture: + Work with IT teams… more
- SMBC (Jersey City, NJ)
- …SMBC offers a competitive portfolio of benefits to its employees. **Role Description** The Regulatory Change Management Officer works with the ... matters related to overseeing timely implementation for SMBC. **Role Objectives** The Regulatory Change Management Officer role works with departments… more
- ManpowerGroup (New York, NY)
- Our client, the financial services industry, is seeking a Regulatory Change Management Officer to join their team. As a Regulatory Change ... communication abilities, which will align successfully in the organization. **Job Title:** Regulatory Change Management Officer **Location: New York, New… more
- City National Bank (New York, NY)
- …and ensuring effective controls are in place to mitigate compliance risk. Maintaining regulatory change management , policies and procedures, training, and ... *COMPLIANCE OFFICER SENIOR-REGISTERED INVESTMENT ADVISOR* *WHAT IS THE OPPORTUNITY?*...* Provide credible challenge at committee meetings. * Manage regulatory change management and participate… more
- MTA (New York, NY)
- …code development, rapid application coding, DevSecOps, and accommodate the strategic change the Agile Product Management team is currently implementing. ... Cybersecurity Officer - Application Security Job ID: 12376 Business Unit:...of this position is to provide technical leadership and management of MTA's cybersecurity program in one or more… more
- City National Bank (New York, NY)
- … within the Wealth Management Division to balance prudent risk management , regulatory oversight, business development, and client relationship management ... . The position requires a deep understanding of fiduciary law, risk management , regulatory compliance, and investment oversight. *WHAT WILL YOU DO?* * … more
- JPMorgan Chase (New York, NY)
- …It operates across four business segments including Asset & Wealth Management , Corporate and Investment Banking Commercial Banking, Consumer and Community Banking. ... do outstanding work by partnering with clients and each other to generate positive change in our local and global communities every single day. We are committed to… more
- HUB International (New York, NY)
- …insurance, employee benefits, risk services, personal insurance, retirement, and private wealth management products and services. With over $5 billion in revenue and ... and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer , will be a highly visible, senior leadership position, reporting directly into… more
- Raymond James Financial, Inc. (New York, NY)
- …accuracy and effectiveness of risk information. . Ensures the business risk management practices comply with regulatory requirements and industry best practices. ... . Establishes and oversees the implementation of a risk management framework for the business unit, to include defining...needs of a growing organization. . Acts as a change agent within a transforming environment, setting strategic direction… more
- Marex (New York, NY)
- … inquiries. + Complete or assist in completing US Broker Dealer BCAC (Business Change Approval Committee ()guidance for management review + Manage US Broker ... visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide compliance advisory services… more
- MTA (White Plains, NY)
- Training Officer C&S - M of W Job ID: 13090 Business Unit: Metro-North Railroad Location: White Plains, NY, United States Regular/Temporary: Regular Department: ... Operations Training Date Posted: Sep 19, 2025 Description Job Title: Training Officer C&S Department: Maintenance of Way MTA Agency: Metro-North Railroad Primary… more
- TD Bank (New York, NY)
- …, fraud aggregation and assessment, Basel implementation/capital analysis, change management , Privacy, AML, LCM and other regulatory issues), in addition ... Corporate Functions across TD. This position will primarily support Regulatory Compliance Management and Risk and Control...Management and the Office of the Chief Risk Officer . They should have and should have the ability… more
- TD Bank (New York, NY)
- …firm + Contribute, as needed, to annual compliance training requirements and regulatory change impact assessments **Education & Experience:** + Bachelors degree ... this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS US...detail, solid judgment, and the ability to evaluate complex regulatory business issues. + Project management skills… more
- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk officer covering North American Cash Equities Sales and Trading businesses. The role is responsible for ... violations of law, rule, or regulation and design and delivery of a risk management framework that maintains risk levels within the firm's risk appetite and protects… more
