- 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 ... in an inclusive and high-performing culture. **Global Banking and Markets :** Global Banking and Markets (GBM) is...our clients an important bridge to this key global market for trade and investment flows across the Americas… 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 ... in an inclusive and high-performing culture. **Global Banking and Markets ** Global Banking and Markets (GBM) is...our clients an important bridge to this key global market for trade and investment flows across the Americas… 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 ... in an inclusive and high-performing culture. **Global Banking and Markets ** Global Banking and Markets (GBM) is...and Collateralized Loan Obligations (CLO). The CIB and Research Compliance Officer assists in the provision of… more
- Guardian Life (New York, NY)
- …Chief Compliance Officer will report directly to the Vice President, Chief Compliance Officer for Individual Markets , who is a member of the ... The Chief Compliance Officer of Park Avenue Securities...and supervise, guide and appraise staff in the Individual Markets Compliance Department + Maintain and update… 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 ... Reporting directly to the CCO and working with the compliance staff, the Compliance Officer 's...review on all new and existing public and private market manager recommendations and investments. - Assisting… 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. The Group's...Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… more
- City Wide Facility Solutions (Paramus, NJ)
- City Wide Facility Solutions is actively seeking a Contract Compliance Officer - Night Shift for our Franchise location in Northern New Jersey (Westwood, NJ) ... - Northern New Jersey, one of more than 70 markets covered across the United States and Canada. Our...the people and communities we serve. Objective The Contract Compliance Office - Night Shift is responsible for the… 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 ... Management Division/Trust Department and compliance with applicable federal/state laws and regulations, contractual obligations and internal Trust department… more
- SMBC (New York, NY)
- …and municipal clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's operating companies in ... Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC Rail Services LLC, Manufacturers Bank, JRI...the current compensation paid in their geography and the market for similar roles at the time of hire.… more
- PNC (Ridgewood, NJ)
- …At PNC, our people are our greatest differentiator and competitive advantage in the markets we serve. We are all united in delivering the best experience for our ... contribute to the company's success. The Regional Supervision Risk Officer (RSO) reports into PNC Investments, which is a...broker-dealer subsidiary of PNC Bank. This role works with Compliance , Central Review Desk and Regional Sales Managers to… more
- City of New York (New York, NY)
- …and conditions of new investment agreements and other related contracts; Assist with manager risk and compliance review and assessment; - Monitoring the ... beneficiaries and the City of New York. The Investment Officer will assist in overseeing the investment activity for...portfolio of existing investments to ensure compliance with the terms of the limited partnership agreement,… more
- SMBC (New York, NY)
- …and municipal clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's operating companies in ... Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC Rail Services LLC, Manufacturers Bank, JRI...the current compensation paid in their geography and the market for similar roles at the time of hire.… more
- JPMorgan Chase (New York, NY)
- …functions to promote consistent operational risk practices and Control programs. As a Control Manager - NA Credit Markets - Vice President within the Business ... executives and core business support groups (ie, Operations, Product Control, Compliance , Technology, Market Risk), drive business control forums, ensuring… more
- Bank of America (New York, NY)
- …lines) globally; key requirements for the role: * 5 years' experience covering markets compliance for a major US institutional broker-dealer or bank. working ... Volcker EAC Compliance and Operational Risk Manager New...Control Functions (FLU/CF) leaders globally, coordinating with the FLU/CF Compliance and Operational Risk Officer teams, executing… more
- SMBC (New York, NY)
- …within the Americas Division Compliance Department (ie, Compliance Administrative Officer and Chief Compliance Officer ). **Role Objectives** + Assist ... clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's...**Role Description** SMBC would like to hire a Senior Compliance Program Manager who would be responsible… more
- Bank of America (New York, NY)
- Compliance and Operational Risk Manager - Control Room Charlotte, North Carolina;New York, New York **Job Description:** At Bank of America, we are guided by a ... Units and Control Functions (FLU/CF) leaders globally, coordinating with the FLU/CF Compliance and Operational Risk Officer teams, executing the CORM Program… more
- NYU Rory Meyers College of Nursing (New York, NY)
- Position Summary The Accounting and Compliance Manager for Contribution and Investments (ACCI) manages the accounting and financial reporting for NYU's ... accounting functions and is part of NYU's Grants, Gifts and Investments Accounting & Compliance (GGIA&C) team. In this role, the Manager is responsible for: 1)… more
- Morgan Stanley (New York, NY)
- … Market Managers, Branch Managers, Producing Branch Managers, Resident Managers, Market Business Development Officer , Financial Advisors and Branch Support ... *POSITION SUMMARY:* A Market Executive directly manages a market -level...personnel management and morale, business ethics and practices, and compliance with all Federal, State, and Local laws and… more
- TD Bank (New York, NY)
- …risk issues, including acting as the Units designated anti-money laundering officer + Understands changing market conditions and remains knowledgeable ... of Business:** Personal & Commercial Banking **Job Description:** TD's Middle Market Credit Management team is responsible for managing credit relationships with… more
- New York State Civil Service (New York, NY)
- …No Agency Insurance Fund, State Title Assistant Corporate Bond Portfolio Manager Occupational Category Other Professional Careers Salary Grade NS Bargaining Unit ... and a minimum of three years of relevant experience in institutional, corporate bond markets . Preference may be given to candidates who have obtained their MBA or… more