- DWS Group (New York, NY)
- Job Description: Employer: DWS Group Title: AFC Compliance Officer (AFC & Compliance Officer ) Location: New York City Job Code: #LI-LV2 #LI-02 About DWS: Today, ... differently. Opportunity to invest responsibly. And opportunity to make change . Join us at DWS, and you can be...(collectively referred to as Anti-Financial Crime) prevention. The DWS Management and all employees are required to adhere to… 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 ... communication abilities, which will align successfully in the organization. **Job Title:** Regulatory Change Management Officer **Location: New York, New… more
- SMBC (New York, NY)
- …Outside Business Activities and Personal Account Dealing) + Financial Crimes Compliance + Regulatory Change Management + Compliance Alerts and other ... of changes in response to new regulations and regulatory developments through the Regulatory Change Management process. + Provide regulatory advice… more
- City National Bank (New York, NY)
- …and ensuring effective controls are in place to mitigate compliance risk. Maintaining regulatory change management , policies and procedures, training, and ... *COMPLIANCE OFFICER SENIOR-REGISTERED INVESTMENT ADVISOR* *WHAT IS THE OPPORTUNITY?*...* Provide credible challenge at committee meetings. * Manage regulatory change management and participate… more
- MTA (New York, NY)
- …code development, rapid application coding, DevSecOps, and accommodate the strategic change the Agile Product Management team is currently implementing. ... Cybersecurity Officer - Application Security Job ID: 12376 Business Unit:...of this position is to provide technical leadership and management of MTA's cybersecurity program in one or more… more
- City National Bank (New York, NY)
- … within the Wealth Management Division to balance prudent risk management , regulatory oversight, business development, and client relationship management ... . The position requires a deep understanding of fiduciary law, risk management , regulatory compliance, and investment oversight. *WHAT WILL YOU DO?* * … more
- HUB International (New York, NY)
- …insurance, employee benefits, risk services, personal insurance, retirement, and private wealth management products and services. With over $5 billion in revenue and ... and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer , will be a highly visible, senior leadership position, reporting directly into… more
- JPMorgan Chase (New York, NY)
- …It operates across four business segments including Asset & Wealth Management , Corporate and Investment Banking Commercial Banking, Consumer and Community Banking. ... do outstanding work by partnering with clients and each other to generate positive change in our local and global communities every single day. We are committed to… more
- Raymond James Financial, Inc. (New York, NY)
- …accuracy and effectiveness of risk information. . Ensures the business risk management practices comply with regulatory requirements and industry best practices. ... . Establishes and oversees the implementation of a risk management framework for the business unit, to include defining...needs of a growing organization. . Acts as a change agent within a transforming environment, setting strategic direction… more
- Marex (New York, NY)
- … inquiries. + Complete or assist in completing US Broker Dealer BCAC (Business Change Approval Committee ()guidance for management review + Manage US Broker ... visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide compliance advisory services… more
- TD Bank (New York, NY)
- …, fraud aggregation and assessment, Basel implementation/capital analysis, change management , Privacy, AML, LCM and other regulatory issues), in addition ... Corporate Functions across TD. This position will primarily support Regulatory Compliance Management and Risk and Control...Management and the Office of the Chief Risk Officer . They should have and should have the ability… more
- TD Bank (New York, NY)
- …firm + Contribute, as needed, to annual compliance training requirements and regulatory change impact assessments **Education & Experience:** + Bachelors degree ... this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS US...detail, solid judgment, and the ability to evaluate complex regulatory business issues. + Project management skills… 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 for ... violations of law, rule, or regulation and design and delivery of a risk management framework that maintains risk levels within the firm's risk appetite and protects… more
- Bank of America (New York, NY)
- Credit Underwriter II/Credit Officer I - Global Renewable Energy Credit New York, New York;Charlotte, North Carolina **To proceed with your application, you must be ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/New-York/Credit-Underwriter-II-Credit- Officer -I Global-Renewable-Energy-Credit\_25038618) **Job Description:** At Bank of America, we… more
- Bank of America (New York, NY)
- SAG Corp/Comm Sr Port Officer Chicago, Illinois;New York, New York; Boston, Massachusetts; Providence, Rhode Island **To proceed with your application, you must be ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Chicago/SAG-Corp-Comm-Sr-Port- Officer \_25036845) **Job Description:** At Bank of America, we are… more
- TD Bank (New York, NY)
- …strategic initiatives and directives are carried out effectively with comprehensive change management strategies. Deliver business services, functions and ... **Line of Business:** Personal & Commercial Banking **Job Description:** The Commercial Loan Officer III is an external sales role that focuses on growing a… more
- BMO Financial Group (New York, NY)
- …group management in communicating and implementing changes to applicable regulatory policies and procedures. + Represents the business/group Compliance team and ... and Commodities ("FICC") LOBs and other internal business partners to ensure regulatory , corporate and fiduciary obligations are met. You will have a specific… more
- Bank of America (Elmont, NY)
- Community Lending Officer - Elmont Elmont, New York **To proceed with your application, you must be at least 18 years of age.** Acknowledge Refer a friend **To ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Elmont/Community-Lending- Officer Elmont\_25038715) **Job Description:** Job Description At Bank of… more
- TD Bank (New York, NY)
- …consolidated liquidity risk and consolidated capital position. The QRM Implementation and Change Management Team is responsible for the centralized ownership of ... holistically to all users of the platform and appropriate change management process for business logic is...Privacy, Legal, Compliance, and Office of the Chief Data Officer + Oversees budget management and reporting… more
- HSBC (New York, NY)
- …deliver cost savings and efficiencies. Create low-code products to improve delivery of change management projects and process optimization. Keep a strong pulse ... **Description** **Litigation, Regulatory Enforcement and Investigations (LREI), HSBC Technology &...team. Prepare for Quarterly Business Reviews with Chief Legal Officer . Partner with lawyers and law firms to ensure… more
