• Franklin Energy (Washington, DC)
    COMPANY Summary As a combined organization, Franklin Energy and AM Conservation Group is undertaking what is perhaps the central challenge of our times - to help ... to commercial and Business Development teams on changes in the field and market that will inform enterprise value chain processes and approachesMeet or exceed… more
    JobGet (03/09/24)
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  • Compliance Business Officer…

    SMBC (New York, NY)
    …years of experience in the financial services industry, with background in Compliance surveillance preferred + Bachelor's degree preferred; law degree preferred ... SMBC Group is a top-tier global financial group...its employees. **Role Description** This senior role within the Compliance Department supports the Head of Surveillance ,… more
    SMBC (01/23/24)
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  • Control Group - Sales & Trading/…

    Morgan Stanley (New York, NY)
    …to diversifying its workforce (M/F/Disability/Vet). **Job:** **Other* **Title:** *Control Group - Sales & Trading/ Surveillance * **Location:** *New York-New ... more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people...important part of our culture. Department Overview: The Global Compliance Department manages a Firmwide Compliance Risk… more
    Morgan Stanley (03/04/24)
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  • VP/Director, Trade Surveillance

    Bank of America (New York, NY)
    VP/Director, Trade Surveillance Reviewer/Asset Class Expert - Credit New York, New York **Job Description:** The Global Markets Business Controls Office (BCO) is ... relating to non-financial risk, including but not limited to compliance with regulatory rules and guidance as well as...business Front Line Unit (FLU). BCO is a global group with teams in many locations including New York,… more
    Bank of America (01/17/24)
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  • Value Stream Leader - Communication, Navigation…

    RTX Corporation (Melbourne, FL)
    …is seeking a Value Stream Leader (VSL) in the Communication, Navigation and Surveillance Product Line organization. The product VSL leads the Integrated Product Team ... budgets, specifications, and financial conditions of contracts to ensure legal compliance and to protect the organization's interests. + Execution responsibilities… more
    RTX Corporation (03/20/24)
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  • Compliance Senior Manager, Control Room

    Raymond James Financial, Inc. (Denver, CO)
    …well as market data resources to perform investigations and research surveillance alerts. * Communicates surveillance findings and results to management and ... and/or certification in securities and/or Fin Tech to administer and manage compliance functions that are specific to the Control Room. Coordinates compliance more
    Raymond James Financial, Inc. (03/01/24)
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  • Auditor, Regulatory Compliance and Quality…

    Hawaiian Airlines (Honolulu, HI)
    …our islands to the world! * Position Summary* The Auditor - Regulatory Compliance & Quality Assurance, reports to the Supervisor, Regulatory Compliance & ... Quality Assurance and is responsible to conduct and manage surveillance of the performance of the Hawaiian Airlines' (HAL) Continuous Airworthiness Maintenance… more
    Hawaiian Airlines (02/01/24)
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  • Senior Manager, Markets Compliance Officer

    Scotiabank (New York, NY)
    Senior Manager, Markets Compliance Officer **Requisition ID:** 193881 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... our clients an important bridge to this key global market for trade and investment flows across the Americas...of wholesale products and services offered by the Scotiabank Group . Be part of an innovative, Global Capital Markets… more
    Scotiabank (03/25/24)
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  • Compliance Officer - Control Room

    S&P Global (New York, NY)
    …of the Compliance Monitoring and Exams part of S&P Global Ratings Compliance . Its members apply standardized monitoring and surveillance protocols to help ... of professional experience in the field of Control Room Compliance , Compliance Monitoring or Surveillance ...that are essential to translating complexity into clarity so market participants can uncover opportunities and make decisions with… more
    S&P Global (01/25/24)
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  • Senior Compliance Analyst - Mutual Funds

    Aegon Asset Management (Denver, CO)
    …LEI filings) + Review marketing and due diligence questionnaire materials + Conduct compliance testing, surveillance , and mock audits + Assist with subadviser ... Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative...A egon , an integrated, diversified, international financial services group . The A egon companies employ over 2… more
    Aegon Asset Management (02/21/24)
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  • Head of Employee Compliance - Director

    SMBC (New York, NY)
    …for optimized efficiency and productivity + Set strategic priorities with the Head of Compliance Surveillance to identify areas of focus and identify metrics for ... SMBC Group is a top-tier global financial group ....the current compensation paid in their geography and the market for similar roles at the time of hire. The… more
    SMBC (02/08/24)
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  • IED - Regulatory Control Group - Associate

    Morgan Stanley (New York, NY)
    …these reviews, eg, best execution, frontrunning, options ticket timeliness; * Liaising with Compliance Surveillance teams to review escalations and assist in the ... Equity Risk Management team, specifically within the Regulatory Control Group (RCG). RCG is responsible for the overall supervisory...disposition of market abuse surveillance alerts; * Identifying, designing,… more
    Morgan Stanley (03/13/24)
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  • Business Control Manager-Broker Dealer Customer…

    Bank of America (New York, NY)
    Business Control Manager-Broker Dealer Customer Protection Manager-Global Market Operations New York, New York **Job Description:** At Bank of America, we are guided ... Summary** The role resides within the Client Asset Control Group (CACG) Americas (AMRS) region. CACG AMRS is a.../ SEA Rule 15c3-3. * Issue Management * Monitoring, Surveillance , and Testing * Risk Management - 5+ years… more
    Bank of America (03/20/24)
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  • Director of Compliance Technology

    SMBC (White Plains, NY)
    SMBC Group is a top-tier global financial group ....the current compensation paid in their geography and the market for similar roles at the time of hire. The ... Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including...an experienced Technology Manager to build and lead our Compliance Technology initiatives. In this position you will have… more
    SMBC (03/26/24)
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  • Compliance Risk Supervising Examiner

    Federal Reserve System (New York, NY)
    …monitoring, testing, training, audit and change management. + Experience in assessing trade surveillance and market conduct risk programs a plus. + Commissioned ... You will work in an environment with a diverse group of experienced professionals to foster and support the...and soundness of supervised institutions + Ensure supervised institutions' compliance with relevant laws and regulations + Facilitate the… more
    Federal Reserve System (02/09/24)
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  • Financial Intelligence Unit Associate

    SMBC (White Plains, NY)
    …The FIU Associate is responsible for the delegation and oversight of day-to-day compliance efforts related to transaction surveillance . This may include the ... VP, the FIU Associate is responsible for the day-to-day compliance efforts related to transaction surveillance , including...(especially AML, BSA and OFAC). + Expert-level knowledge of market practices related to compliance operations. +… more
    SMBC (02/13/24)
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  • QA Complaint Engineer - Lehi, UT

    Dentsply Sirona (Richardson, TX)
    …partners including R&D, Operations, Post Market Risk Management and Surveillance , Quality, Regulatory and Compliance , to insure complete and thorough ... the day-to-day functions of Dentsply Sirona Orthodontic Aligner Solutions Group (OAS) complaint handling activities at all locations under...activities, this position is also responsible to distribute post market surveillance data to the Post … more
    Dentsply Sirona (03/13/24)
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  • CHC PV Case Management Head

    Sanofi Group (Bridgewater, NJ)
    …the process owner for case management globally in the Company, accountable for group wide alignment of ICSR management standards. This position is responsible for ... PV teams, HA (Health Authorities), partner companies and other functions in compliance with global procedures and local regulatory PV requirements + To… more
    Sanofi Group (02/09/24)
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  • Medical Director - Infection Prevention/Control…

    Henry Ford Health System (Detroit, MI)
    …antimicrobial use data; improvement of data infrastructures and data reporting in compliance with National Health Safety Network (NHSN), CMS and other internal ... population + Oversees preparation of annual reports, Risk Assessment and Surveillance data presented to various committees with relevant stakeholders + Conducts… more
    Henry Ford Health System (02/28/24)
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  • Senior Medical Director, Product Safety Physician

    BeiGene (San Mateo, CA)
    …topics/ CSC agenda items + Leads communication of recommendations to labeling group /other stakeholders + Actively participates in meetings as required in External ... of CSC recommendations for labeling amendments, participates in Labeling Working Group meetings, leads and facilitates communication of Safety outcomes to relevant… more
    BeiGene (01/26/24)
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