- 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
- Saratoga Casino Hotel (Saratoga Springs, NY)
- …Saratoga Casino Hotel welcomes you to apply! Your Role: Our successful Surveillance Officers promote outstanding relations with all guests and fellow Team Members ... Role: + At least 18 years of age + Previous experience in casino surveillance preferred. + Excellent written and verbal communication skills required. + Ability to… 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
- Bloomberg (New York, NY)
- Compliance Officer - Personal Account Dealing and Conflicts of Interest (COI) Analyst - Legal & Compliance **New York, NY** Posted May 3, 2024 - Requisition ... York, with team members also in London, as a Compliance Officer to support Bloomberg's Personal Account...for Personal Account Dealing and COI. Within the Employee Compliance function, the role will perform various surveillance… 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
- 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...compliance support to the Capital Markets line of business , a division within the Commercial Bank of Capital… more
- Morgan Stanley (New York, NY)
- …other Morgan Stanley sponsored benefit programs. **Job:** **Other* **Title:** *Volcker Compliance Officer (Vice President)* **Location:** *New York-New York* ... a Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines, legal...support functions on the development of Volcker controls and surveillance . >Working with compliance training staff on… 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
- 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
- Windham Mountain Resort (Windham, NY)
- …Windham Mountain and its affiliated/contracted Homeowner Associations and related business facilities. Security Officers are responsible for monitoring, protecting, ... Office of Safety and Security will act at the discretion of the Chief Officer of Safety and Security. Such Security Officers may be designated by general defined… 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
- Meta (New York, NY)
- **Summary:** The MFT Compliance Head of AML and MPY BSA / AML Officer is responsible for coordinating and monitoring Meta Payments, Inc's ('MPY') day-to-day ... BSA/AML compliance and should be fully knowledgeable of the BSA...to the BSA and its implementing regulations. The BSA/AML Officer shall be fully acquainted with the provisions of… 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
- WMCHealth (Kingston, NY)
- Security Officer Company: HealthAlliance Hospital City/State: Kingston, NY Category: Service/Trades Department: Security Union: Yes Union Name: SPFPA (Security) ... which result in loss time, loss of property, or interruption to business operations. Responsibilities: + Performs a broad array of time related safety-security… more