- Bloomberg (New York, NY)
- Product Owner & Senior Compliance Officer - Regulatory Technology - Legal & Compliance **New York, NY** Posted Mar 11, 2024 - Requisition No. 123709 The ... for Bloomberg's non-regulated products and services. We work to address regulatory issues, ensure compliance with current/developing rules and regulations,… more
- HSBC (New York, NY)
- …as well as other exam related matters + Support the discharge of Chief Compliance Officer regulatory duties (includes day-to-day activities of our issues ... investors, our communities and the planet we all share. The Swap Dealer Compliance Officer will have responsibility for advising business and support functions… more
- City of New York (New York, NY)
- …Your Team: The Assistant Commissioner for the Division of Economic Opportunity and Regulatory Compliance , M/WBE Officer (EORC) oversees the teams that ... The AC will also serve as the agency's M/WBE Officer and the independent reviewer for any contractor or...policy on such topics as equal opportunity initiatives and regulatory compliance requirements. Your Responsibilities: - Managing… more
- Catholic Health Services (Roslyn, NY)
- …management; and initiate and recommend changes designed to minimize risk and ensure regulatory compliance . Managing the privacy program- serving as Privacy ... and strengthen their credentials. Job Details The Director of Risk Management and Regulatory Affairs (Patient Safety Officer /Privacy Officer ) serves as an… more
- Citigroup (New York, NY)
- Serves as a risk officer for Independent Compliance Risk Management (ICRM)'s Exam Management and Regulatory Liaison Office responsible for the promotion, ... thereof; experience in area of focus **Job Family Group:** Compliance and Control **Job Family:** Regulatory Liaison...Family Group:** Compliance and Control **Job Family:** Regulatory Liaison & Exam Management **Time Type:** Full time… more
- Citigroup (New York, NY)
- Serves as a Services, Markets, Banking ("SMB") Central Operations compliance officer for Independent Compliance Risk Management (ICRM) responsible for ... timely compliance risk assessments related to SMB Central Operations, regulatory change management and mapping duties. + Appropriately assess risk when business… more
- SMBC (New York, NY)
- …offers a competitive portfolio of benefits to its employees. **Role Description** The Regulatory Officer works with the Governance Regulatory Team within ... SMBC's Planning Department to assist with the execution of regulatory relations and exam management for SMBC. This role is responsible for supporting regulatory … 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 broad knowledge of US broker-dealer and investment advisory compliance , regulated business environments and key regulatory … 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 ... guidance, and practices. The position is responsible for: Trust Compliance Officer Duties + Maintaining the Trust's...new policies and procedures in response to newly issued regulatory guidance; + Compliance oversight of service… more
- City of New York (New York, NY)
- …data feeds for multiple brokers. - Researching and providing reporting to the Chief Compliance Officer on changes in regulatory rules and practices affecting ... investment managers; only short-term cash is internally managed. The Compliance Officer will work with the Chief...to identify and implement policies and workflows to monitor regulatory compliance both within the Bureau and… 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: ... the clinical compliance and privacy program remains comprehensive and, meets regulatory compliance requirements, as well as applicable Federal, State, and… 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 ... Bloomberg's non-regulated products and services. We work to address regulatory issues, ensure compliance with current/developing rules...We are looking for a Swap Execution Facility (SEF) Compliance Officer to join our SEF … 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 ... Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage...organized with project management skills. + 10+ years of regulatory compliance experience at a broker dealer.… 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 ... apply standardized monitoring and surveillance protocols to help mitigate compliance , regulatory and reputational risk; prevent or...ethics, policies and operating procedures. **The Impact:** As a Compliance Officer in the Control Room you… 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 ... compliance department. The Assistant General Counsel and Compliance Officer will assist in managing the...assist in managing the Trust's legal matters, focusing on compliance , ethics, contracts, procurement, and regulatory affairs,… 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 ... and Collateralized Loan Obligations (CLO). The CIB and Research Compliance Officer assists in the provision of...such as, but not limited to the development of Compliance policies and procedures, performing regulatory horizon… more
- Citigroup (New York, NY)
- Serves as a senior compliance risk officer facing WaW/Citigold/CPC for Independent Compliance Risk Management (ICRM) Sanctions responsible for establishing ... procedures, processes related to monitoring and fostering awareness of sanctions regulatory requirements that Citi must comply with; assessing related sanctions risk… more
- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk officer for Securities Services Independent Compliance Risk Management (ICRM) responsible for ... cross-border impact. + Advising ICRM and function/business/product management and personnel on regulatory and compliance issues and provide credible challenge. +… 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 ... management and US Compliance personnel on relevant compliance issues, the regulatory environment, and Compliance Department initiatives by actively… more
- Morgan Stanley (New York, NY)
- …other Morgan Stanley sponsored benefit programs. **Job:** **Other* **Title:** *Volcker Compliance Officer (Vice President)* **Location:** *New York-New York* ... or management reporting. Basic Qualifications > 7 years of compliance or regulatory experience, preferably with an investment bank, federal regulator or self-… more