- 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 ... rules and regulations, and correspond with regulators. We are seeking a Trade / Export Control Compliance Officer who is adept in US export control… 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 ... LLC, a leading self-clearing broker-dealer is looking for a Compliance Associate/ Officer to join the team. He/she...public equities trading + Experience using Trillium software for trade compliance management + Experience developing and… more
- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal ... with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating… more
- Citizens (Tarrytown, NY)
- …+ Ownership of various month end and quarter end reports delivered to Chief Compliance Officer including Monthly Trade Reconciliation Report , Monthly ... Account Balances Report, and Quarterly Fee Debit Reconciliation. + Responsible for comprehensive training of new team members. + Assist with special projects on an as needed basis from management (eg - internal audits, external audits, etc.).… more
- Guardian Life (New York, NY)
- The Chief Compliance Officer of Park Avenue Securities...those issues at PAS + Be engaged with industry trade groups and regulatory forums to shape PAS or ... 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
- 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 ... We are looking for a Swap Execution Facility (SEF) Compliance Officer to join our SEF ...minimum of 7 years' derivatives, swaps and/or commodities products compliance + Experience conducting trade surveillance, real-time… more
- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Surveillance Compliance officer to join their team in New York. The ... role will primarily focus on Surveillance ( Trade Activity and Communications) across a range of asset...opportunity to gain exposure to a wider range of compliance activities at a market-leading firm. Marex has unique… 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 ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… 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 ... and internal policies and procedures. + Oversee the development and maintenance of trade compliance programs, policies, and automated systems, including for both… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and ... platform encompasses a number of surveillance related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, outside… 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, ... 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… 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 ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...("CPAD"). This team focuses on several key compliance risk types, including consumer compliance , investment… 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 ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...attestations. This position reports to the Head of Employee Compliance in the SMBC Americas Division. **Role Objectives** +… more
- SMBC (New York, NY)
- …Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the ... rule, and be able to implement, and manage SMBC's compliance program for the Volcker Rule. On a day-to-day...and regional Volcker Offices on various aspects of Volcker compliance . The Director will be responsible for rigorously supporting… more
- SMBC (New York, NY)
- …Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the ... employees. **Role Description** This role will manage and oversee all Compliance -related issues (ie, Internal Audit, Compliance , self-identified and Regulatory),… more
- City of New York (New York, NY)
- …perform tasks and assignments in the fields of Cyber security Awareness, Governance, Compliance , and other relevant and required duties for the Cyber security ... posture. Governance: Establish and maintain governance frameworks to ensure compliance with regulatory requirements, industry standards, and internal policies within… more
- Citigroup (Uniondale, NY)
- **Citi Commercial Bank - Commercial Lending Management - Credit Officer , Consumer Products & Retail, SVP** **Description** Citi's US Commercial Bank (CCB) is a ... New York City, New York or San Francisco, California. The CLM Credit Officer facilitates the end-to-end lending process for a covered industry vertical through a… more
- BD (Becton, Dickinson and Company) (Franklin Lakes, NJ)
- …will be a member of the Regulatory Law Group and will report to the VP Compliance Officer and Chief Regulatory Counsel. The successful candidate will be a US ... closely with other business functions (eg, commercial teams, global trade compliance , finance, supply chain, procurement, contracts,...Regulatory Law Group and will report to the VP Compliance Officer and Chief Regulatory Counsel. The… more
- Deloitte (New York, NY)
- …+ Foreign equivalent of the above certifications + CUSICO (Certified US Import Compliance Officer ) + Professional Accreditation in EU Customs Law (post masters) ... US and foreign multinational companies on global import and export strategies, compliance , and trade automation. Our team focuses on advising, implementing… more
- SMBC (New York, NY)
- …supports interaction between the Functions and 2nd LoD, including Risk Management and Compliance . Head of Functions Control Officer oversees each Functional area ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...its employees. **Job Summary** The Head of Functions Control Officer is a leader, change agent, and risk management… more