- Citigroup (Jersey City, NJ)
- Serves as a compliance testing officer for Independent Compliance Risk Management (ICRM)'s Independent Assessment team responsible for assessing ... to address reported issues. Key Activities include: + Developing, implementing, and executing compliance testing and reporting programs in accordance with the … more
- Amalgamated Bank (New York, NY)
- Amalgamated Bank is seeking a Testing Compliance Officer to assist the Compliance Officers to ensure the Bank's loan, deposit products and services ... relative to lending, deposit, and loan servicing regulations. 3. Collaborate with Chief Compliance Officer in executing the Bank's Compliance Management… more
- TD Bank (New York, NY)
- …global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance ... for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of... + Assist with developing and executing the annual Compliance Testing and Monitoring plan + Determine… more
- TD Bank (New York, NY)
- … Monitoring and Testing + Assist with developing and executing the annual Compliance Testing plan + Determine scope of reviews; build detailed review steps; ... globally + Assist in identifying areas for enhanced Monitoring, Testing or training Core Compliance + Develop...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… more
- NatWest Markets (Stamford, CT)
- …**Swap Dealer Testing VP (2LOD)** Reporting to the Senior Monitoring and Testing Compliance Assurance Officer this role is responsible for assessing ... compliance risks and controls within the Swap Dealer testing program. The candidate will be part of an...and tuition reimbursement. **It is the policy of NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries… more
- Scotiabank (Tampa, FL)
- Compliance Officer , Global Banking & Markets , US...process for the TAO and GTB business. + Provide Compliance support for Compliance Testing , ... results, in an inclusive and high-performing culture. ** Compliance Officer - Global Banking & Markets - US Compliance - Tampa, FL** **Global Transaction… more
- Citigroup (New York, NY)
- Serves as a function/business/product compliance risk officer as a **Senior VP for Equities Independent Compliance Risk Management (ICRM)** responsible for ... inquiries and internal and external investigations, as well as testing and audit. + Designing and lead compliance... testing and audit. + Designing and lead compliance and control reviews. + Partnering with other ICRM… more
- Citigroup (Tampa, FL)
- …deliverables across the Markets Controls Assessment and Testing team. The Markets Controls Assessment Officer will be part of a team of approximately 6-7 ... The Markets Control Testing Utility is responsible...and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… more
- Bank of America (Dallas, TX)
- Vice President - Global Markets Credit Commodities Credit Officer Charlotte, North Carolina;Dallas, Texas; New York, New York; Houston, Texas **Job ... evaluation of Problem Assets, some limit approval authority and reporting of capital markets credit risk. The Credit Officer will primarily interface with the… more
- Scotiabank (Houston, TX)
- …(GS), Mortgage Capital Markets , Structured Credit and Equity Research businesses. The Compliance Officer will serve as (1) primary compliance advisory ... Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary...are in place as appropriate. + Provide support for Compliance testing , Audits, Regulatory Exams and Inquiries… more
- Wells Fargo (Irving, TX)
- **About this role:** Wells Fargo is seeking a Lead Independent Testing Officer in Financial Crimes Independent Testing & Validation (IT&V) group within the ... Crimes ITV TRACE team is seeking a Lead Independent Testing Officer to support the Financial Crimes...accountable for execution of all applicable risk programs (Credit, Market , Financial Crimes, Operational, Regulatory Compliance ), which… more
- Citigroup (New York, NY)
- Citibank, NA seeks a Market Risk Senior Officer I for its New York, New York location. Duties: Identify and evaluate market risks associated with the Latin ... experience. 5 years of experience must include: Analyzing global financial markets , market risk, and financial models; Performing statistical analysis… more
- Equitable (Charlotte, NC)
- Compliance Officer ( 25000075 ) **Primary Location** : UNITED STATES-NC-Charlotte **Organization** : Equitable **Schedule** : Full-time **Description** At ... is based in our Charlotte, NC office. Equitable is currently looking to hire a Compliance Officer within Equitable Distributors Compliance , which is a part… more
- SMBC (New York, NY)
- …to its employees. **Role Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of ... rules, regulations, and procedures. + Develop and execute monitoring and testing of business activities, including the annual compliance program review,… more
- Citigroup (New York, NY)
- …on internal policies and procedures. This role is in support of the Chief Compliance Officer (CCO) of the Futures Commission Merchant and covers the FDC ... Serves as a senior function/business/product compliance risk officer for Independent ...inquiries and internal and external investigations, as well as testing and audit. + Designing and lead compliance… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $140,000 USD TD is committed to providing fair ... this role. **Job Description:** **Preferred Qualifications:** TD Securities' Regulatory Compliance Management Framework (RCM) is implementing new programs and… more
- Amalgamated Bank (New York, NY)
- Amalgamated Bank is seeking a Compliance Officer to assist the Compliance Officers to ensure the Bank's loan, deposit products and services maintain ... compliance laws, regulations, and regulatory guidance. + Perform monitoring/ testing as needed to ensure existing and proposed deposit...with federal and state regulations + Collaborate with Chief Compliance Officer in executing the Bank's … more
- CIBC (Chicago, IL)
- …please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing** The Regulatory Compliance Management (RCM) Officer will assist in the ... compliance risk in the US Region. The RCM Officer will support the US RCM Program Manager to...Are** + You have 5+ years' experience in regulatory compliance , risk management, or compliance audit/ testing… more
- Citigroup (New York, NY)
- The Treasury Risk Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their ... the reporting and analysis of interest rate and other market risks. + Conducts daily, weekly, and or monthly...information such as DP and Yield Book. + Leads testing and implementing a new Treasury Risk Management system,… more
- Aegon Asset Management (Denver, CO)
- …. Job Description Summary The successful candidate will serve as the Chief Compliance Officer (CCO) responsible for developing, administering and monitoring the ... Investment Company Act of 1940 ("`40 Act"). + Conduct compliance and risk assessments and manage the testing...degree preferred. + Extensive knowledge of the financial services markets and products, securities laws (1933, 1934, and 1940… more
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