- SMBC (New York, NY)
- …findings or recommendations; + M&T findings or recommendations; and/or + Observations by Compliance officer or business staff member + Coordinate with relevant ... the Regulatory Governance team is responsible for production of Annual Compliance Reports and related senior officer certifications. **Responsibilities:** +… more
- SMBC (Jersey City, NJ)
- …offers a competitive portfolio of benefits to its employees. **Role Description** The Compliance - Functions Control Officer function plays a critical role in ... across the operating environment. **SCOPE** The role will report to Functions Control Officer Lead for Compliance . The incumbent will be responsible for… more
- SMBC (Charlotte, NC)
- …identification to comply with regulations (eg, Swap Dealer recordkeeping, SEC and FINRA WORM compliance , FRB/OCC/FDIC Disaster Recovery testing). - Prepare and ... Finance and Leasing Co., Ltd. **Role Description** The Director, IT Functional Control Officer (FCO) for Capital Markets/Nikko is a change agent and risk management… more
- SMBC (New York, NY)
- …Provide feedback and guidance, as necessary, to business units to ensure compliance with internal policies and procedures standards. + Monitor and supervise problem ... loan reviews and pass watch or any special credit reviews. + Manage compliance with internal policies, workflow procedures and ensure US regulatory requirements are… more
- SMBC (Jersey City, NJ)
- …The role will work closely with the SMBC Nikko Securities America, Inc., Chief Compliance Officer , SMBC Americas Division Head of Ethics Office, business unit ... The Head of Registrations will report to the Head of Employee Compliance with responsibility to lead the Registrations Program across the Americas Division,… more
- SMBC (Jersey City, NJ)
- …The role will work closely with the SMBC Nikko Securities America, Inc., Chief Compliance Officer , SMBC Americas Division Head of Ethics Office, business unit ... Activities and Contributions Lead will report to the Head of Employee Compliance with responsibility for oversight of the firm's outside business activities, private… more
- SMBC (New York, NY)
- …to its employees. **Role Description** This position supports the Chief Credit Risk Officer as well as Co-Head(s) of CDAD as a business management and coordination ... trackers, and organizational diagnostics to support strategic initiatives. + Monitor compliance with policies and procedures related to problematic assets, including… more
- SMBC (Charlotte, NC)
- …The Data Management Department Americas Division (DMDAD) of the Chief Data & Analytics Officer (CDAO) works with group companies and functional areas on a wide range ... Data Elements (KDEs) in the Party and Reference Data Domains and ensure compliance with DMDAD's Data Governance Framework. **Qualifications and Skills** + 10+ years'… more
- SMBC (New York, NY)
- …real property appraisals Reporting Relationships + Reports to the Chief Risk Officer + Direct Reports: + Deputy Chief Appraiser + Appraisal Administrator **Principal ... reviewed appraisals and evaluations for accuracy, completeness, logic, and regulatory compliance . + Resolves appraisal and/or valuation issues for SMBC departments… more
- Insight Global (Dallas, TX)
- …Insight Global is seeking to hire an experienced and detail-oriented Deputy Chief Compliance Officer for a global investment firm focused in the fintech ... space. The Deputy CCO is to support the Chief Compliance & Legal Officer in overseeing and...FINRA systems (eg, CRD, Firm Gateway). *Familiarity with compliance technology platforms such as Global Relay and … more
- HUB International (New York, NY)
- …investment advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer , will be a highly visible, senior leadership ... position, reporting directly into the Global/Executive Chief Compliance and Risk Officer , working closely with...in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures. This means… more
- Insight Global (New York, NY)
- Job Description The Compliance Officer will work closely with the members of a team focusing on regulatory compliance issues with respect to marketing and ... other investor/third party materials and communications. The Compliance Officer will serve as the primary...and International regulatory standards * Analyze marketing material for compliance with regulatory standards including, SEC, FINRA … more
- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk officer covering North American Cash Equities Sales and Trading businesses. The role is responsible ... **Responsibilities:** + Strong knowledge of and comfort with providing Compliance guidance in relation to applicable FINRA ...providing Compliance guidance in relation to applicable FINRA and SEC rules including REG SHO, 5320, Reg… more
- MUFG (Tempe, AZ)
- …team will provide more details. **Job Summary:** Reporting to the Head of Core Compliance Practices for Americas, you will lead various activities and tasks that are ... required for effective management of compliance risk within the bank. As part of this...background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major… more
- Ventura County (Ventura, CA)
- Investment Officer /Senior Investment Officer Print (https://www.governmentjobs.com/careers/ventura/jobs/newprint/5071037) Apply Investment Officer /Senior ... management, investment research, portfolio management, credit analysis, portfolio monitoring, compliance reporting, and other special projects. Distinguishing Characteristics: Each… more
- MUFG (Irving, TX)
- …Delivery (DIA-ID) team, which is part of the GFCD Operations Financial Crime Compliance - Data Analytics (FCC-DA) function, this new position has been created for ... in business intelligence or data analytics, preferably in Financial Crime compliance , internal to MUFG, another global financial institution or FinTech firm.… more
- MUFG (Irving, TX)
- …Strategy and Oversight** , the Vice President, **Head of Financial Crimes and Compliance Human Capital Strategy** , is a critical divisional leader responsible for ... assess global talent + Oversee implementation of Global Job Architecture across Core Compliance and GFCD Globally + Partner with Global HR for staffing matters,… more
- MUFG (Tempe, AZ)
- …will provide more details. **Job Summary** **WORK EXPERIENCE:** + Experience in compliance testing, regulatory examination, audit, or risk management. + Exposure to ... regulatory exams or inquiries. + Experience with Core Compliance requirements such as Ethics, Data Privacy, Information Handling, Records & Information Management,… more
- SMBC (Jersey City, NJ)
- …of benefits to its employees. **Role Description** The Regulatory Change Management Officer works with the Regulatory Change Management Team as a Subject Matter ... timely implementation for SMBC. **Role Objectives** The Regulatory Change Management Officer role works with departments across SMBC Americas Division to coordinate… more
- ManpowerGroup (New York, NY)
- Our client, the financial services industry, is seeking a Regulatory Change Management Officer to join their team. As a Regulatory Change Management Officer , you ... align successfully in the organization. **Job Title:** Regulatory Change Management Officer **Location: New York, New York** **Pay Range:** Anticipated salary… more
