- MetLife (New York, NY)
- …. CRM is part of Global Risk Management (GRM). The Broker Dealer Compliance Officer will be responsible for supporting the broker-dealer compliance ... with internal stakeholders. The Role: Reporting directly to the VP, Chief Compliance Officer of MLIDC and Head of Investments Core and Broker-Dealer … 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 ... FINRA, MSRB laws and other regulations, and ensure our organization remains in compliance . The Chief Compliance Officer of PAS will also play a key role in… more
- S&P Global (New York, NY)
- **About the Role:** **Grade Level (for internal use):** 12 **The Role: Compliance Officer ** The Compliance Officer role is based in Englewood or New York ... with Compliance Officers both in North America and globally, the Compliance Officer will be the primary liaison point between any assigned Ratings Practice… more
- Bloomberg (New York, NY)
- Senior Compliance Officer - Trade / Export Control - Legal & Compliance **New York, NY** Posted May 17, 2024 - Requisition No. 125360 The energy of a ... correspond with regulators. We are seeking a Trade / Export Control Compliance Officer who is adept in US export control regulations specifically applicable to… more
- Hold Brothers (New York, NY)
- …goals are delivered. We are seeking a highly skilled and experienced public equities trading Compliance Officer to join our team. The Compliance Officer ... Brothers Capital, LLC, a leading self-clearing broker-dealer is looking for a Compliance Associate/ Officer to join the team. He/she will help with the delivery… more
- City of New York (New York, NY)
- …results driven safety or risk management professional to serve as Fleet Safety and Compliance Officer . Reporting to the Director of Fleet Services, the Fleet ... Safety and Compliance Officer will lead a small team...Safety and Compliance Officer will lead a small team of analysts responsible...and resolution across the agency. The Fleet Safety and Compliance Officer may also be required to… more
- City of New York (New York, NY)
- …add staff to fulfill critical functions. Position Summary The Assistant General Counsel and Compliance Officer reports directly to the General Counsel and is a ... Trust's legal and compliance department. The Assistant General Counsel and Compliance Officer will assist in managing the Trust's legal matters, focusing on … more
- Centers Plan for Healthy Living (Staten Island, NY)
- Director Quality Management/ Compliance Officer 75 Vanderbilt Ave, Staten Island, NY 10304, USA Req #11961 Monday, June 3, 2024 Director of Quality and ... the Agency's Corporate Compliance Program. Serves as the Agency's Compliance Officer . Ensure effective staff training and monitoring of problem prone areas… 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 compliance leadership and guidance to the… 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 will provide compliance oversight of Swap Dealer activities,… more
- SMBC (New York, NY)
- …of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or process with a large… 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 ... state of Delaware rules and regulations; + **Working** with the US Chief Compliance Officer and the Director of US Compliance Programs to develop, implement… 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 FINRA registered broker-dealers and provide compliance support to the Capital… 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 ... other regulated offerings globally. We are looking for a Swap Execution Facility (SEF) Compliance Officer to join our SEF Compliance team. In this role, you… more
- City of New York (New York, NY)
- …of the Director, Investigations and Compliance Unit, the Investigations and Compliance Officer will: - Manage relationships with agency EEO personnel, ... workforce across over 80 agencies (mayoral or non-mayoral). The Investigation and Compliance Unit, to which this position belongs, updates and provides guidance to… more
- Insight Global (New York, NY)
- Job Description A commercial banking client is looking for a Compliance Officer to join their organization this person will be assisting the Chief Compliance ... will be involved and exposed to all areas of compliance including BSA, AML, KYC and OFAC. The role...closely with OCC for annual review. Oversight of other compliance individuals while CCO is unavailable We are a… more
- Bloomberg (New York, NY)
- Senior Data Privacy Compliance Officer - Legal & Compliance **New York, NY** Posted Jun 11, 2024 - Requisition No. 125883 The energy of a newsroom, the pace ... make it happen. What's the role? Bloomberg's Legal & Compliance Department plays a critical role in supporting our...by our award-winning pro bono program. The Data Privacy Compliance team works closely with our Legal counterparts, business… 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 in Manhattan,...near future. The CCO will foster a culture of compliance and ensure local regulatory compliance requirements… more
- Morgan Stanley (New York, NY)
- …Morgan Stanley sponsored benefit programs.#LI-JB3 **Job:** **Other* **Title:** *Volcker Compliance Officer (Vice President)* **Location:** *New York-New York* ... of our culture. Department Profile Professionals within Legal and Compliance provide a wide range of services to our...the firm's businesses. Background on the Team The Global Compliance Department manages a Firmwide Compliance Risk… more
- Bloomberg (New York, NY)
- Senior Compliance Officer - Bloomberg Tradebook - Legal & Compliance **New York, NY** Posted Apr 26, 2024 - Requisition No. 124879 The energy of a newsroom, ... make it happen. **What's the role?** Bloomberg's Legal & Compliance Department plays a critical role in supporting our...evidenced by our award-winning pro bono program. The Global Compliance team within Bloomberg's Legal & Compliance … more