- 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 , ...General Account and reinsurance mandates. + Interact/partner with CIO, investment managers, and Legal to ensure compliance … 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 ... Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal...compliance risk, and is represented by the Chief Compliance Officer as either a member or… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking ** Senior ** **Lead Compliance Officers** in Corporate Risk as part of **Equity Sales and Trading Compliance .** ... and business divisions at wellsfargojobs.com . Equities Sales and Trading Compliance provides coverage for Cash, Derivatives, Electronic Trading, Research Sales,… more
- MetLife (New York, NY)
- …internal stakeholders. The Role: Reporting directly to the VP, Chief Compliance Officer of MLIDC and Head of Investments Core and Broker-Dealer Compliance ... Officer will be responsible for working with the Senior Broker-Dealer Compliance Officer who...Relationships: * Reports to: VP, Chief Compliance Officer , MLIDC and Head of Investments Core… more
- City of New York (New York, NY)
- …steward of the resources of plan beneficiaries and the City of New York. The Senior Investment Officer will assist in overseeing the investment ... for the five New York City pension systems. The Senior Investment Officer will report...Trustees; - Monitoring the portfolio of existing fund and co- investments to ensure compliance with the terms… more
- New York State Civil Service (New York, NY)
- …real-time risk information need by the CIO and senior management;* The Chief Investment Risk Officer will manage a staff of risk analysts and also serve ... in annual earned premium and over $20 billion in assets.Under the direction of the Chief Investment Officer (CIO) the Chief Investment Risk Officer will… more
- CIBC (New Brunswick, NJ)
- …please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) **What** **You'll** **Be Doing** As the Senior Trust Officer , you will be responsible for the ... milestones and deliverables. Partner effectively with internal experts from the Investment Management and Tax Department, to provide oversight and guidance on… 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 ...must have a broad knowledge of US broker-dealer and investment advisory compliance , regulated business environments and… more
- CIBC (New York, NY)
- …based in Toronto, Ontario, Canada. **What You'll Be Doing** The PWM Chief Compliance Officer ("CCO") is responsible for developing, implementing, and maintaining ... rules and regulations; + **Working** with the US Chief Compliance Officer and the Director of US...regulatory matters and provide clear and insightful guidance to senior management and investment management personnel; +… more
- Citigroup (New York, NY)
- …communication skills required in order to negotiate internally, often at a senior level. Developed communication and diplomacy skills are required in order to ... Group and offers a wide range of products and solutions, including investment strategies, banking and lending, trust and specialized services.The Private Bank… more
- Bank of America (Florham Park, NJ)
- Senior Trust Officer Florham Park, New Jersey;Paramus, New Jersey; Princeton, New Jersey **Job Description:** At Bank of America, we are guided by a common ... job is responsible for managing a book of fiduciary and investment management accounts for high-net-worth clients and beneficiaries involving multi-generational… 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...applicable rules + Providing effective challenge and guidance on compliance risks and supporting senior management through… 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...manuals, policies, and procedures. + Engage with and advise senior management and staff on all issues concerning US… more
- The Cigna Group (Morris Plains, NJ)
- **OVERVIEW:** The Chief Pharmacy Officer ( Senior Director) oversees and directs the creation, adoption and evaluation of clinical pharmacy programs, product and ... Plan book of business. + Partners with the Health Plan National Medical Officer for Pharmacy to develop and deploy clinical affordability solutions for drugs and… 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 ... its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects… more
- JPMorgan Chase (Jersey City, NJ)
- 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 ... customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging...& Business Management team supports the firm's Chief Risk Officer , RM&C Chief Financial Officer and the… 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 ... team focuses on several key compliance risk types, including consumer compliance , investment banking related compliance , conduct, regulatory … more
- JPMorgan Chase (New York, NY)
- … Office investments across the fixed income spectrum. Engage with senior members of Treasury/Chief Investment Office Credit Risk and the Portfolio ... Investment Office's fixed income portfolio which includes diversified investments across securitized and non-securitized asset classes. In this role, you… more
- SMBC (New York, NY)
- …its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects ... controls relating to business risks. Create audit reports for review with senior audit management and business leadership. Facilitate audit issue tracking to ensure… more
- SMBC (New York, NY)
- …its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects ... knowledge of the Volcker rule, and be able to implement, and manage SMBC's compliance program for the Volcker Rule. On a day-to-day basis, the position works closely… more