- Scotiabank (New York, NY)
- …the overall success of the advisory compliance coverage of the Corporate & Investment Banking and Research businesses in the US Specific business lines under ... Manager, CIB & Research Compliance Officer **Requisition ID:** 193847 **Salary...Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform… 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 ... Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform...the Bank's business strategies and objectives. Provide advice on compliance with governing regulations and Bank internal policies and… 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 ... Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America,… more
- CIBC (New York, NY)
- …based in Toronto, Ontario, Canada. **What You'll Be Doing** The PWM Chief Compliance Officer ("CCO") is responsible for developing, implementing, and maintaining ... Banking and Wealth Management lines of business. US Compliance supports these lines of business by being proactive...rules and regulations; + **Working** with the US Chief Compliance Officer and the Director of US… more
- Citigroup (New York, NY)
- …leading and managing business execution activities, supporting the Chief Compliance Officer and the Senior Leadership team for Banking & International ICRM. ... and effective. + Developing and coordinating communications for the Banking & International Chief Compliance Officer...least 10 years of experience working in a global investment bank or universal bank; + Excellent written, verbal,… more
- Citigroup (Jersey City, NJ)
- …may impact the supported businesses + Supporting the Research and Investment Banking businesses in performing timely compliance reviews of new products. + ... Serves as a Control Group compliance officer , specifically relating to research...(EGCs) preferred + Exposure to Control Group, or Product Compliance roles ( Banking or Research) within a… 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...electronic communications surveillance, information barriers, restricted/watch lists, institutional research, investment banking , and institutional sales + Acting… more
- SMBC (Jersey City, NJ)
- …This team focuses on several key compliance risk types, including consumer compliance , investment banking related compliance , conduct, regulatory ... Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional,...its employees. **Role Description** SMBC Group is seeking a Compliance Transformation Officer for the Compliance… more
- Amalgamated Bank (New York, NY)
- Amalgamated Bank is seeking a Trust Compliance & Risk Officer to be responsible for the Compliance and Risk Management Program for the Bank's Investment ... of our employees and customers. Essential Job Functions: + Responsible for compliance and risk management for the Bank's Investment Management Division/Trust… more
- SMBC (New York, NY)
- …of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It ... Group offers a diverse range of financial services, including banking , leasing, securities, credit cards, and consumer finance. The...compliance risk, and is represented by the Chief Compliance Officer as either a member or… more
- SMBC (Jersey City, NJ)
- …of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It ... Group offers a diverse range of financial services, including banking , leasing, securities, credit cards, and consumer finance. The...of benefits to its employees. **Role Description** The Employee Compliance Officer will join a team that… more
- Morgan Stanley (New York, NY)
- …is a leading global financial services firm providing a wide range of investment banking , securities, investment management and wealth management services. ... Morgan Stanley sponsored benefit programs.#LI-JB3 **Job:** **Other* **Title:** *Volcker Compliance Officer (Vice President)* **Location:** *New York-New York*… more
- JPMorgan Chase (New York, NY)
- …Chase brands. Our history spans over 200 years and today we are a leader in investment banking , consumer and small business banking , commercial banking , ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...be best-in-class. As a Technology Operational Risk Management Senior Officer within the CCOR Tech & Cyber team, you… more
- SMBC (New York, NY)
- …of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It ... history, SMBC Group offers a diverse range of financial services, including banking , leasing, securities, credit cards, and consumer finance. The Group has more… more
- TIAA (New York, NY)
- Enterprise Compliance Officer (AML Tuning & Analytics) The Enterprise Compliance Lead/Manager will manage the tuning and optimization of AML monitoring ... and present model results to the stake holders. + Work closely with compliance , governance, and IT teams to ensure alignment with regulatory standards. +… more
- SMBC (New York, NY)
- …of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It ... history, SMBC Group offers a diverse range of financial services, including banking , leasing, securities, credit cards, and consumer finance. The Group has more… more
- Wells Fargo (New York, NY)
- …through our four reportable operating segments: Consumer Banking and Lending, Commercial Banking , Corporate and Investment Banking , and Wealth & ... in the US We provide a diversified set of banking , investment and mortgage products and services,...a Finance Executive who will be the Chief Financial Officer for the Head of Global Operations. As the… more
- JPMorgan Chase (New York, NY)
- …Chase brands. Our history spans over 200 years and today we are a leader in investment banking , consumer and small business banking , commercial banking , ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...and striving to be best-in-class. As a Lead Credit Officer - Vice President within the Risk Management team,… more
- SMBC (New York, NY)
- …of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It ... history, SMBC Group offers a diverse range of financial services, including banking , leasing, securities, credit cards, and consumer finance. The Group has more… more
- SMBC (New York, NY)
- …of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It ... in Financial Services + Financial services industry with 2+ years' experience within Compliance or Governance department in a foreign banking organizatio SMBC's… more