- 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 ... FINRA, MSRB laws and other regulations, and ensure our organization remains in compliance . The Chief Compliance Officer of PAS will also play a key role in… more
- Hold Brothers (New York, NY)
- …goals are delivered. We are seeking a highly skilled and experienced public equities trading Compliance Officer to join our team. The Compliance Officer ... Brothers Capital, LLC, a leading self-clearing broker-dealer is looking for a Compliance Associate/ Officer to join the team. He/she will help with the delivery… more
- City of New York (New York, NY)
- …results driven safety or risk management professional to serve as Fleet Safety and Compliance Officer . Reporting to the Director of Fleet Services, the Fleet ... Safety and Compliance Officer will lead a small team...Safety and Compliance Officer will lead a small team of analysts responsible...and resolution across the agency. The Fleet Safety and Compliance Officer may also be required to… 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 ... firm's code of business ethics, policies and operating procedures. **The Impact:** As a Compliance Officer in the Control Room you will be part of a global team… 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 ... Trust's legal and compliance department. The Assistant General Counsel and Compliance Officer will assist in managing the Trust's legal matters, focusing on … more
- Centers Plan for Healthy Living (Staten Island, NY)
- Director Quality Management/ Compliance Officer 75 Vanderbilt Ave, Staten Island, NY 10304, USA Req #11961 Monday, May 13, 2024 Director of Quality and ... the Agency's Corporate Compliance Program. Serves as the Agency's Compliance Officer . Ensure effective staff training and monitoring of problem prone areas… more
- CIBC (New York, NY)
- …based in Toronto, Ontario, Canada. **What You'll Be Doing** The PWM Chief Compliance Officer ("CCO") is responsible for developing, implementing, and maintaining ... state of Delaware rules and regulations; + **Working** with the US Chief Compliance Officer and the Director of US Compliance Programs to develop, implement… more
- Capital One (New York, NY)
- …(22957), United States of America, New York, New York Commercial Broker Dealer Chief Compliance Officer - Sr. Director The Sr. Director will be the Commercial ... Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional FINRA registered broker-dealers and provide compliance support to the Capital… 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 ... other regulated offerings globally. We are looking for a Swap Execution Facility (SEF) Compliance Officer to join our SEF Compliance team. In this role, you… 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 ... Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or process with a large… more
- AIG (Parsippany, NJ)
- Senior Compliance Officer , Investments Compliance Location: Parsippany, NJ or New York, NY At AIG, we are reimagining the way we help customers to manage ... risk. Join us as a Senior Compliance Officer , Investments Compliance to play your part in that transformation. It's an opportunity to grow your skills and… more
- Robert Half Finance & Accounting (New York, NY)
- Description Robert Half Financial Services are hiring for an AVP Compliance Officer role for an International Corporate Bank located in midtown Manhattan New ... skills. + Proficiency in Microsoft Office suite, including Excel. This AVP Compliance Officer role is hybrid remote requiring 2-3 days per week in the… more
- City of New York (New York, NY)
- …of the Director, Investigations and Compliance Unit, the Investigations and Compliance Officer will: - Manage relationships with agency EEO personnel, ... workforce across over 80 agencies (mayoral or non-mayoral). The Investigation and Compliance Unit, to which this position belongs, updates and provides guidance to… more
- Citigroup (New York, NY)
- Serves as a Markets Fixed Income Product Compliance officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal ... consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice… more
- TIAA (New York, NY)
- The Enterprise Compliance Officer is responsible for providing dedicated support for Wealth Management in administering the global regulatory review process for ... key strategic leader in the department to the head of Enterprise Communications Compliance and a hands-on manager to drive implementation of strategic risk-based … more
- Morgan Stanley (New York, NY)
- …Morgan Stanley sponsored benefit programs.#LI-JB3 **Job:** **Other* **Title:** *Volcker Compliance Officer (Vice President)* **Location:** *New York-New York* ... of our culture. Department Profile Professionals within Legal and Compliance provide a wide range of services to our...the firm's businesses. Background on the Team The Global Compliance Department manages a Firmwide Compliance Risk… more
- Bloomberg (New York, NY)
- Senior Compliance Officer - Bloomberg Tradebook - Legal & Compliance **New York, NY** Posted Apr 26, 2024 - Requisition No. 124879 The energy of a newsroom, ... make it happen. **What's the role?** Bloomberg's Legal & Compliance Department plays a critical role in supporting our...evidenced by our award-winning pro bono program. The Global Compliance team within Bloomberg's Legal & Compliance … more
- SMBC (Jersey City, NJ)
- …a competitive portfolio of benefits to its employees. **Role Description** The Employee Compliance Officer will join a team that is responsible for implementing ... and certifications and attestations. This position reports to the Head of Employee Compliance in the SMBC Americas Division. **Role Objectives** + Play a lead role… 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) ... by positively impacting the people and communities we serve. Objective The Contract Compliance Office - Night Shift is responsible for the quality control of general… 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 ... from across the Business. Work with contacts in the Business and Compliance to ensure consistent and effective application and implementation of, and controls… more