- 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 ...minimum of 7 years' derivatives, swaps and/or commodities products compliance + Experience conducting trade surveillance , real-time… more
- SMBC (New York, NY)
- …benefits to its employees. **Role Description** This senior role within the Compliance Department supports the Head of Surveillance , Data & Analytics (DAS). ... years of experience in the financial services industry, with background in Compliance surveillance preferred + Bachelor's degree preferred; law degree preferred… more
- Capital One (New York, NY)
- …Park Avenue (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...applicable rules + Providing effective challenge and guidance on compliance risks and supporting senior management through… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer .... + Participate in the review of monitoring and surveillance routines and respond to alerts or issues from ... the Bank's business strategies and objectives. Provide advice on compliance with governing regulations and Bank internal policies and...Surveillance by investigating the circumstances surrounding trades or communications… more
- Morgan Stanley (New York, NY)
- *POSITION SUMMARY:* The Private Wealth Management Senior Risk Officer is responsible for a wide variety of supervisory, compliance , and risk functions ... and other Risk Officers within the Complex, the PWM Senior Risk Officer has accountability in the...line reporting to the Complex manager and Regional Risk Officer . *DUTIES and RESPONSIBILITIES:* ** * Surveillance and… 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 ...a key role in providing ongoing updates to our senior leadership teams and the PAS Board of Directors… 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)
- **About the Role:** **Grade Level (for internal use):** 10 **The Role:** Compliance Officer - Control Room **The Team:** Control Room is part of the ... Monitoring and Exams part of S&P Global Ratings Compliance . Its members apply standardized monitoring and surveillance...ethics, policies and operating procedures. **The Impact:** As a Compliance Officer in the Control Room you… more
- J&J Family of Companies (Raritan, NJ)
- Director, Medical Safety Officer , Oncology - 2406185159W **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
- 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 ... Division of Finance, Bureau of the Agency Chief Contracting Officer is seeking to hire an exceptional procurement professional...as a member of the ACCO / Assistant Commissioner's senior management team. Lead Directors and Contract Managers in… 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...- Serve as a member of the ACCO/Assistant Commissioner's senior management team. Work closely with the ACCO/ Senior… 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 ... + Knowledge of Derivatives a Plus + Responsible for review of escalated surveillance issues. + Provide ongoing advice and guidance to Capital Markets sales &… more
- City of New York (New York, NY)
- …will report to the to the Assistant Commissioner of Audit Services and Medicaid Compliance Officer . Audit Services plays a leading role in risk based assessments ... organization, with faster decision-making, transparent public communications, and stronger surveillance and bridges to healthcare systems 2) Address and prevent… 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 ... Summary** The Volcker Enterprise Area of Coverage (EAC) Global Compliance & Operational Risk (GCOR) officer is...to communicate clearly both orally and in writing with senior stakeholders and external parties; * Strong interpersonal skills;… 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 ... looking to recruit a Preventive Medicine Residency Director and Senior Population Health Physician. This role demands a combination...areas of focus - Advise and assist Chief Medical Officer and other agency executives on areas of focus… more
- Neuberger Berman (New York, NY)
- …+ To 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
- CIBC (New York, NY)
- …and material incidents of non- compliance to the relevant Global Markets business head, senior Compliance officer and, if appropriate, head of US Global ... detecting when violations do occur. Regulatory Supervision is a business role (not Compliance ) and is delegated the responsibility to supervise on behalf of Global… more
- JPMorgan Chase (New York, NY)
- …and manage Compliance , Conduct and Operational Risks. **Job Description** A Senior Program Manager is required to join the team responsible for leading the ... with Business aligned Control Managers as well as with senior Business and Functional Managers to help the Business...first line through to second line of defense trade surveillance , where appropriate, and other controls. The role will… more