• 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 ... of benefits to its employees. **Role Description** This senior role within the Compliance Department supports the Head of Surveillance , Data & Analytics (DAS).… more
    SMBC (04/23/24)
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  • SEF Compliance Surveillance Lead…

    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
    Bloomberg (04/26/24)
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  • Compliance Officer , Park Avenue…

    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
    Guardian Life (04/05/24)
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  • Compliance Officer - Personal…

    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
    Bloomberg (05/03/24)
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  • Compliance Officer - Control Room

    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
    S&P Global (04/25/24)
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  • Senior Manager, Markets Compliance

    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 (05/02/24)
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  • Commercial Broker Dealer Chief Compliance

    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
    Capital One (04/30/24)
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  • Volcker Compliance Officer (Vice…

    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
    Morgan Stanley (05/07/24)
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  • Manager, Markets Compliance Officer

    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
    Scotiabank (04/27/24)
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  • Cyber Governance, Risk, and Compliance

    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
    City of New York (04/19/24)
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  • Business Risk Officer

    Citigroup (New York, NY)
    The Business Risk Officer / Supervisory Principal is a strategic professional who stays abreast of developments within own field and contributes to directional ... and escalate to Senior Management and partners including, but not limited to, Compliance , Legal, AML, Regional Business Risk, Regional COO and Sales Management… more
    Citigroup (05/01/24)
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  • Head of AML for Meta FinTech and BSA / AML…

    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
    Meta (05/03/24)
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  • Deputy Agency Chief Contracting Officer

    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 (03/24/24)
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  • Assistant Agency Chief Contracting Officer

    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
    City of New York (05/01/24)
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  • VP, Compl Product Officer - SMB Central…

    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
    Citigroup (04/27/24)
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  • AACCO, Office of the Agency Chief Contracting…

    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
    City of New York (03/31/24)
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  • Volcker EAC Compliance and Operational Risk…

    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 (03/23/24)
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  • Enterprise Privacy Compliance

    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 ... Adaptability + Business Process Analysis + Issue Management + Monitoring, Surveillance , and Testing **Job Description:** Enterprise Privacy is a global team of… more
    Bank of America (05/02/24)
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  • Administrative Coordinator and Compliance

    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
    Neuberger Berman (05/11/24)
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  • Compliance and Operational Risk Manager-…

    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 ... Adaptability + Business Process Analysis + Issue Management + Monitoring, Surveillance , and Testing **Job Description Summary** The Global Control Room (GCR) has… more
    Bank of America (04/25/24)
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