- Veterans Affairs, Veterans Health Administration (Northport, NY)
- Summary The Security Specialist ( Compliance Officer ) (Non-Uniform) position is located within the Police Service of the Northport VA Medical Center in Northport, ... Responsibilities The incumbent serves as a Security Specialist - Non-Uniform Compliance Officer ensuring a safe and secure environment across VHA within various… more
- City of New York (New York, NY)
- …managed primarily by external investment managers; only short-term cash is internally managed. The Compliance Officer will work with the Chief Compliance ... industry. Reporting directly to the CCO and working with the compliance staff, the Compliance Officer 's responsibilities include, but are not limited 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 ... 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
- S&P Global (New York, NY)
- **About the Role:** **Grade Level (for internal use):** 10 **The Role:** Compliance Officer - Control Room **The Team:** Control Room is part of the ... firm's code of business ethics, policies and operating procedures. **The Impact:** As a Compliance Officer in the Control Room you will be part of a global team… more
- City of New York (New York, NY)
- …add staff to fulfill critical functions. Position Summary The Assistant General Counsel and Compliance Officer reports directly to the General Counsel and is a ... Trust's legal and compliance department. The Assistant General Counsel and Compliance Officer will assist in managing the Trust's legal matters, focusing on … more
- Weill Cornell Medical College (New York, NY)
- Title: Executive Director & Clinical Compliance Officer Location: Midtown Org Unit: Compliance and Privacy Office Work Days: Monday-Friday Exemption Status: ... Coder (CPC, CCS-P), Certified Hospital Coder (CCS- H) Certified Medical Compliance Officer (CMPO), Certified Professional Medical Auditor (CPMA), HCCA… more
- City of New York (New York, NY)
- …results driven safety or risk management professional to serve as Fleet Safety and Compliance Officer . Reporting to the Director of Fleet Services, the Fleet ... Safety and Compliance Officer will lead a small team...Safety and Compliance Officer will lead a small team of analysts responsible...and resolution across the agency. The Fleet Safety and Compliance Officer may also be required to… more
- City of New York (New York, NY)
- …results driven safety or risk management professional to serve as Fleet Safety and Compliance Officer . Reporting to the Director of Fleet Services, the Fleet ... Safety and Compliance Officer will lead a small team...Safety and Compliance Officer will lead a small team of analysts responsible...and resolution across the agency. The Fleet Safety and Compliance Officer may also be required to… more
- City of New York (New York, NY)
- …results driven safety or risk management professional to serve as Fleet Safety and Compliance Officer . Reporting to the Director of Fleet Services, the Fleet ... Safety and Compliance Officer will lead a small team...Safety and Compliance Officer will lead a small team of analysts responsible...and resolution across the agency. The Fleet Safety and Compliance Officer may also be required to… more
- US Bank (New York, NY)
- …company services businesses in the country. Specifically, the role will serve as Chief Compliance Officer for a closed-end fund multiple trust series (Trust) and ... regulations, guidance, and practices. The position is responsible for: Trust Compliance Officer Duties + Maintaining the Trust's compliance program,… more
- Morgan Stanley (Purchase, NY)
- …Maintain and update the Compliance policies and procedures. - Support the Chief Compliance Officer with the annual review of the RIA compliance program. ... **Job:** ** Compliance * **Title:** *Wealth Management Institutional RIA Compliance Officer * **Location:** *New York-Purchase* **Requisition ID:** *3248036*… 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 ... other regulated offerings globally. We are looking for a Swap Execution Facility (SEF) Compliance Officer to join our SEF Compliance team. In this role, you… more
- Scotiabank (New York, NY)
- Manager, CIB & Research Compliance Officer **Requisition ID:** 193847 **Salary Range:** 85,700.00 - 159,100.00 _Please note that the Salary Range shown is a ... Securitization, Research and Collateralized Loan Obligations (CLO). The CIB and Research Compliance Officer assists in the provision of advice on compliance … 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 ... Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or process with a large… more
- HSBC (New York, NY)
- …all share. This position will have responsibility for working with the advisory compliance officer responsible for coverage of the Futures and Options business ... to regulatory inquires and examinations + Supporting the discharge of Chief Compliance officer regulatory duties (includes day-to-day activities of issue… more
- Hold Brothers (New York, NY)
- …business management or a related field. + 3+ years' proven experience in a compliance officer role and broker/dealer-related and escalations. + Series 7 or ... LLC, a leading self-clearing broker-dealer is looking for a Compliance Associate to join the team. He/she will help...and regulatory best practices. With a diverse team of Compliance professionals supporting all areas of our business, the… more
- Citigroup (New York, NY)
- Serves as a Markets Fixed Income Product Compliance officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal ... consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice… more
- Truist (New York, NY)
- …below. Specific activities may change from time to time. 1. The Investment Banking Compliance Officer will be a member of the Global Corporate & Investment ... review the following job description:** Leads a team of compliance professionals to ensure appropriate compliance risk...team of compliance professionals to ensure appropriate compliance risk oversight is in place for assigned business… 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 ... support of the Bank's business strategies and objectives. Provide advice on compliance with governing regulations and Bank internal policies and procedures. **What… more
- Bloomberg (New York, NY)
- Product Owner & Senior Compliance Officer - Regulatory Technology - Legal & Compliance **New York, NY** Posted Mar 11, 2024 - Requisition No. 123709 The ... 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