- 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
- 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...and governance of a business group or manage companywide compliance programs + Establish, implement and maintain… 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 oversight and monitoring of business group risk-based compliance programs + Establish, implement and maintain… more
- AIG (Parsippany, NJ)
- Senior Compliance Officer , Investments Compliance Location: Parsippany, NJ or New York, NY At AIG, we are reimagining the way we help customers to manage ... risk. Join us as a Senior Compliance Officer , Investments ...Perform compliance due diligence of external managers compliance programs . + Implement solutions to challenges… 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 Data Privacy Compliance Officer...our communities as evidenced by our award-winning pro bono program . The Data Privacy Compliance team works ... 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 the… 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 (New York, NY)
- …to its employees. **Role Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of ... the compliance program for an investment advisory firm...procedures. + Oversee the development and maintenance of trade compliance programs , policies, and automated systems, including… 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 (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
- Citigroup (New York, NY)
- Serves as a compliance risk officer program support for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, ... program framework. Primary responsibilities include providing day-to-day Compliance Program level support within the Office...directing and coordination of day-to-day activities of running a program or portfolio of programs . + Applies… 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
- International Rescue Committee (New York, NY)
- … across the IRC offices and affiliates. In coordination with the Senior Program Officer , Monitoring and Compliance , they will develop, implement, and ... Compliance supports the overall quality assurance and compliance of the R&P and Matching Grant Programs...across the network using relevant data sources and advise Senior Program Officer on best… more
- Wells Fargo (New York, NY)
- …will:** + Provide oversight and governance of a business group or manage companywide compliance programs + Establish, implement and maintain risk standards and ... **About this role:** Wells Fargo is seeking ** Senior ** **Lead Compliance Officers** in Corporate...the business unit's risk appetite and all risk and compliance program requirements. Candidates applying to job… more