- SMBC (Jersey City, NJ)
- …experience managing in complex environments (matrixed organizations, Center of Excellence, regulatory enforcement action, remediation) + Strong analytical skills ... portfolio of benefits to its employees. **Role Description** Reporting to the Head of Compliance Monitoring & Testing ("M&T") in the Compliance Department, Americas… more
- Citigroup (New York, NY)
- …with a profound understanding of blockchain technology, cryptocurrencies, and the evolving regulatory landscape of digital assets. The Risk Head will act ... The Risk Head for Investor Services Digital Assets will be...Due Diligence (CDD) processes. + Stay abreast of emerging regulatory trends, enforcement actions, and industry best… more
- SMBC (Jersey City, NJ)
- …SMBC's Compliance Department is seeking a highly skilled Executive Director, Head of Communications Surveillance to lead and enhance its communications surveillance ... framework across the Americas. This role reports directly to the Managing Director, Head of Surveillance, Control Room, and Conflicts of Interest and is responsible… more
- MUFG (New York, NY)
- …financial crimes compliance governance forums; + Supporting Senior Management, industry, regulatory , and law enforcement communications and engagement; ... recruitment team will provide more details. Reporting into the Managing Director, Regional Head of Americas AML Program Officer (APO), the role supports the BAU… more
- TD Bank (New York, NY)
- …a criminal background check, credit report check, civil litigation search, and regulatory agency or self- regulatory organization enforcement action search, ... administrative, civil, and/or criminal findings by any government agency/authority or self- regulatory organization, are required by federal law for this… more
- PNC (New York, NY)
- …and have an opportunity to contribute to the company's success. As the Head of Business Development, Deal & Transaction Services within PNC's Treasury Management ... *Client relationship management is crucial, focusing on expanding market share with law firms, deal parties, private equity firms, family office and venture capital… more
- New York State Civil Service (New York, NY)
- …data, and establishing and monitoring annual filing deadlines;* Manages VOOR related enforcement process related to the identification of entities that failed to ... orders, hearing documents, revocation orders, levying penalties, monitoring compliance with enforcement actions and penalty payments, coordinating with the Office of… more
- TD Bank (New York, NY)
- …review quality and methodology. + Act as a strategic advisor on evolving regulatory expectations, enforcement trends, and industry best practices in market ... Surveillance Quality Assurance Team. The SIU in turn reports to the Global Head of Surveillance. This incumbent will ensure that surveillance alerts related to… more
- New York State Civil Service (New York, NY)
- …of the Department's Executive Team. The Executive Deputy is responsible for all regulatory and supervisory issues, as well as enforcement matters, related to ... chief advisor to the Superintendent on a wide range of supervisory, transactional, regulatory , legislative, policy, enforcement and other matters related to the… more
- PNC (New York, NY)
- …Managing Director within PNC's Corporate Treasury organization reports directly to the Head of Capital Planning and Management and includes opportunities to oversee ... of business, finance, risk management, internal audit, legal, and regulatory affairs partners across PNC. Your work will contribute...occasional absence days each year, unless otherwise required by law ; between 15 to 25 vacation days each year,… more
- City of New York (New York, NY)
- …and departments, and managing public property. New York City Mayor Eric Adams is head of the executive branch of New York City's government. Previously, Mayor Adams ... New York City's Administrative Code 6-129. - Conduct comprehensive legal and regulatory research to support the application of City's Administrative Code, executive… more
