- 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 ... of benefits to its employees. **Role Description** This senior role within the Compliance Department supports the Head of Surveillance , Data & Analytics (DAS).… 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 ... We are looking for a Swap Execution Facility (SEF) Compliance Officer to join our SEF ...Assist with investigations and disciplinary actions + Provide advisory compliance services to the business + Review,… 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 ...in leading a team of associates providing guidance to business partners; oversight/ surveillance to the firm's daily… more
- S&P Global (New York, NY)
- …analytics and business intelligence skills. **Responsibilities:** As a Control Room Compliance Officer , you will be expected to + Monitor communications ... Role:** **Grade Level (for internal use):** 10 **The Role:** Compliance Officer - Control Room **The Team:**... Monitoring and Exams part of S&P Global Ratings Compliance . Its members apply standardized monitoring and surveillance… more
- 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 ... are executed / delivered in support of the Bank's business strategies and objectives. Provide advice on compliance.... + Participate in the review of monitoring and surveillance routines and respond to alerts or issues from… more
- Scotiabank (New York, NY)
- Manager, Markets Compliance Officer **Requisition ID:** 198261 **Salary Range:** 85,700.00 - 159,100.00 _Please note that the Salary Range shown is a guideline ... support personnel. + Review and provide comments to relevant business and compliance policies and procedures to...the investigation of trade or communication alerts escalated by Surveillance or Internal Control. + Assist in the investigation… more
- Hold Brothers (New York, NY)
- … management or a related field. + 3+ years' proven experience in a compliance officer role and broker/dealer-related and escalations. + Series 7 or equivalent ... state regulatory requirements and regulatory best practices. With a diverse team of Compliance professionals supporting all areas of our business , the team is… more
- Wells Fargo (New York, NY)
- …and Investment Banking (CIB) COO division has multiple open roles for a senior Business Supervisory Officer , at Executive Director level to build out the Markets ... provide expertise to key aspects of the Firm's Trade Surveillance Framework in the First Line. The successful candidate...of risk management, business controls, quality assurance, business operations, compliance , or process experience, or… more
- Morgan Stanley (New York, NY)
- …from the Complex to the Regional Risk Officer * Focuses on business ethics and regulatory and compliance practices Provides the coaching and guidance ... is responsible for a wide variety of supervisory, compliance , and risk functions related to the Complex. In...line reporting to the Complex manager and Regional Risk Officer . *DUTIES and RESPONSIBILITIES:* ** * Surveillance and… more
- City of New York (New York, NY)
- …they are regularly reviewed and updated to address evolving threats and business needs. Monitor compliance with cybersecurity policies and procedures within ... organization, with faster decision-making, transparent public communications, and stronger surveillance and bridges to healthcare systems 2) Address and prevent… more
- Citigroup (New York, NY)
- The Business Risk Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering ... their application in own job and the business . Recognized technical authority for an area within...Derivatives a Plus + Responsible for review of escalated surveillance issues. + Provide ongoing advice and guidance to… more
- J&J Family of Companies (Raritan, NJ)
- Director, Medical Safety Officer , Oncology - 2406183977W **Description** Johnson & Johnson, is recruiting for a Director, Medical Safety Officer , Oncology to be ... Proud to be an equal opportunity employer. The Pharmaceuticals Medical Safety Officer (MSO) has accountability for assessing the medical safety of assigned Johnson… more
- City of New York (New York, NY)
- …organization, with faster decision-making, transparent public communications, and stronger surveillance and bridges to healthcare systems 2) Address and prevent ... each led by an Assistant Commissioner: Bureau of the Agency Chief Contracting Officer ; Bureau of Budget; Bureau of the Controller; Bureau of Finance Administration… more
- City of New York (New York, NY)
- …organization, with faster decision-making, transparent public communications, and stronger surveillance and bridges to healthcare systems 2) Address and prevent ... JOB DESCRIPTION: The Division of Finance, Bureau of the Agency Chief Contracting Officer is seeking to hire an exceptional procurement professional who is highly… more
- Citigroup (New York, NY)
- Serves as a Services, Markets, Banking ("SMB") Central Operations compliance officer for Independent Compliance Risk Management (ICRM) responsible for ... **Responsibilities:** + Partnering closely with SMB Central Operations Businesses, Product Compliance , Surveillance and PTOA teams to ensure appropriate central… more
- City of New York (New York, NY)
- …organization, with faster decision-making, transparent public communications, and stronger surveillance and bridges to healthcare systems 2) Address and prevent ... Job Description: The Bureau of the Agency Chief Contracting Officer (ACCO) within the Division of Finance is seeking...contact for M/WBE with the NYC Department of Small Business Services, the Mayor's Office of M/WBE, the Mayor's… more
- Bank of America (New York, NY)
- …Active Listening + Data and Trend Analysis + Issue Management + Monitoring, Surveillance , and Testing + Regulatory Compliance **Shift:** 1st shift (United States ... Vice President - Credit Risk Officer , Global Markets Credit New York, New York...the traders/marketers and other risk and support groups (ie Compliance , Finance, Operations, etc.). Incumbents typically have over five… more
- Bank of America (New York, NY)
- …Units and Control Functions (FLU/CF) leaders globally, coordinating with the FLU/CF Compliance and Operational Risk Officer teams, executing the CORM Program ... emerging risks. **Job Description Summary** The Volcker Enterprise Area of Coverage (EAC) Global Compliance & Operational Risk (GCOR) officer is a person who has… more
- Bank of America (New York, NY)
- …Units and Control Functions (FLU/CF) leaders globally, coordinating with the FLU/CF Compliance and Operational Risk Officer teams, executing the CORM Program ... + Business Process Analysis + Issue Management + Monitoring, Surveillance , and Testing **Job Description and Role Responsibilities:** The Enterprise Area of… more
- Neuberger Berman (New York, NY)
- …work as an Administrative Coordinator and Compliance Assistant supporting the Chief Compliance Officer and other senior members of the Legal and ... travel arrangements, including flight, hotel and ground + Basic compliance responsibilities, including, potentially, surveillance activities **Qualifications** :… more