- HUB International (Chicago, IL)
- ** Global Chief Compliance Officer ** **About HUB International** Headquartered in Chicagoand ranked 5th among the world's largest insurance brokers, HUB ... " or the " **Company** ") is a fast-growing, global broker providing a broad array of property, casualty,...high growth, dynamic company as its first, dedicated **Chief Compliance Officer ** (" **CCO** "). Our CCO… more
- NYU Rory Meyers College of Nursing (New York, NY)
- …on relevant policies and procedures. This position will report to the Chief Global Compliance Officer ("CGCO"). Principal duties include: + Collaborate ... Position Summary The Compliance Associate will support the Office of Ethics...timeline of projects to ensure that New York University's global operations comply with applicable national and international laws… more
- Bank of America (New York, NY)
- …**Job Description Summary** The Volcker Enterprise Area of Coverage (EAC) Global Compliance & Operational Risk (GCOR) officer is a person who has financial ... This job is responsible for the execution of the Global Compliance - Enterprise Policy, the Operational...requirements for the role: * 5 years' experience covering markets compliance for a major US institutional… more
- Vanguard (Malvern, PA)
- As the Chief Compliance Officer of Vanguard Global ...with purpose - and that's how we've become a global market leader. Here, we grow by doing ... leadership and direction on the design and execution of global compliance activities related to Vanguard's registered...risk management. This role reports to the Vanguard Chief Compliance Officer and is a member of… 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 ... committed to results, in an inclusive and high-performing culture. ** Global Banking and Markets :** Global ...provides our clients an important bridge to this key global market for trade and investment flows… more
- Bank of America (New York, NY)
- Vice President - Credit Risk Officer , Global Markets Credit New York, New York **Job Description:** At Bank of America, we are guided by a common purpose to ... the traders/marketers and other risk and support groups (ie Compliance , Finance, Operations, etc.). Incumbents typically have over five...credit skills are necessary. The role sits within the Global Markets Credit ("GMC") group within the… more
- Bank of America (Charlotte, NC)
- Global Markets Credit - Hedge Funds Credit Risk Officer , Vice President New York, New York;Chicago, Illinois; Charlotte, North Carolina **Job Description:** ... responsibilities include focusing on but not limited to credit, market , and reputational risk; as well as adherence or...risk issues. * Candidate will have significant exposure to Global Markets personnel including Trading / Structuring… 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 ... ethics, policies and operating procedures. **The Impact:** As a Compliance Officer in the Control Room you...At S&P Global , we focus on Powering Global Markets . Throughout our history, the world's… 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 ... provides our clients an important bridge to this key global market for trade and investment flows...and Collateralized Loan Obligations (CLO). The CIB and Research Compliance Officer assists in the provision of… 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 ... clients. It connects a diverse client base to local markets and the organization's extensive global network....Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… 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 ... as evidenced by our award-winning pro bono program. The Global Compliance team within Bloomberg's Legal Department...We are looking for a Swap Execution Facility (SEF) Compliance Officer to join our SEF … more
- Morgan Stanley (New York, NY)
- …Stanley Wealth Management policies, and other regulations. Additionally, the National Risk Officer keeps the Market and Region informed of significant matters ... support various risk and supervisory functions for a single Market and/or multiple Markets within a single...Officer coverage for functions specific to a single Market , a single Branch, or multiple branches within a… more
- Bank of America (Chicago, IL)
- …to provide high quality credit approval to Corporate Banking, Investment Banking, Global Markets , and Treasury + Exercises Delegated Approval Authority using ... Senior Credit Officer - Global Corporate and Investment Banking Chicago,...as structuring and underwriting new financing solutions across the Global Banking and Markets product spectrum. Job… more
- Lutheran Immigration and Refugee Service (Baltimore, MD)
- …mission-driven organization, then we have the opportunity for you! The Program Officer for Pre-Arrival will report to the Assistant Director for Refugee Pre-Arrival ... development of a strong foundation for the successful resettlement and integration of Global Refuge refugee clients. This work will be carried out through accurate,… more
- Lutheran Immigration and Refugee Service (Baltimore, MD)
- …the opportunity for you! Reporting to the Senior Program Officer , the Program Officer for Training and Compliance will provide training and compliance ... can be remote with trips to Baltimore as needed. Global Refuge, formerly known as Lutheran Immigration and Refugee...for UC + In consultation with the Senior Program Officer , recommending additional training for HQ and care provider… more
- Citigroup (Tampa, FL)
- …Human Capital metrics and management/oversight of enterprise Human Capital Risk issues. The Global HR Human Capital Risk Officer is a strategic professional who ... Human Resources ("HR") is a global organization comprised of more than 4,000 professionals...developing strategies to discontinue employment, as well as maintaining market competitive compensation, benefits and recognition programs intended to… more
- Morgan Stanley (Washington, DC)
- …Stanley Wealth Management policies, and other regulations. Additionally, the National Risk Officer keeps the Market and Region informed of significant matters ... support various risk and supervisory functions for a single Market and/or multiple Markets within a single...Officer coverage for functions specific to a single Market , a single Branch, or multiple branches within a… 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 ... to our communities as evidenced by our award-winning pro bono program. The Global Compliance team provides coverage of Bloomberg's regulated entities and… 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. ... Morgan Stanley is a leading global financial services firm providing a wide range...**Job:** ** Compliance * **Title:** *Wealth Management Institutional RIA Compliance Officer * **Location:** *New York-Purchase* **Requisition ID:**… more
- Truist (Atlanta, GA)
- …Specific activities may change from time to time. 1. The Investment Banking Compliance Officer will be a member of the Global Corporate & Investment Banking ... Regulatory Compliance Manager (CRCM) 5. Investment banking and capital markets regulatory experience. Experience with MSRB rules a strong plus. **The annual… more