- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or ... Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal...compliance risk, and is represented by the Chief Compliance Officer as either a member or… more
- Wells Fargo (New York, NY)
- **About this role:** This Senior Lead Compliance Officer position will provide IRM coverage of FINRA licensed bankers in Corporate and Investment Banking ... (CIB), specifically for the coverage sectors within investment banking. **In this role, you will:** + Develop, oversee, train, and provide expert business and… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... Markets** Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America,… more
- Wellington (New York, NY)
- …member of the Legal and Enterprise Risk Group and will report to the Private Investments Chief Compliance Officer , working closely with other compliance ... will support and provide leadership to Wellington Management's private investments compliance program, focusing on private credit....of the role is to work with the Chief Compliance Officer to build-out, manage and execute… more
- Neuberger Berman (New York, NY)
- …experience in role of senior lawyer with compliance responsibilities, or senior compliance officer (or CCO) for registered funds + Strong knowledge ... Chief Compliance Officer for over $55 billion complex of funds registered under the Investment Company Act of 1940, covering multiple asset classes and… more
- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or ... Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal...compliance risk, and is represented by the Chief Compliance Officer as either a member or… more
- City National Bank (New York, NY)
- …for new or revised laws and regulations. + Assist the Compliance Manager, Senior Compliance Officer , and Risk Assessment team with the evaluation of ... line of business to remediation plans. + Works with Senior Compliance Officer , Compliance...Management Compliance roles, experience working within a Compliance Investment Management role. **Compensation** Starting base… more
- JPMorgan Chase (New York, NY)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and… more
- Citigroup (New York, NY)
- …(ICRM) responsible for leading and managing business execution activities, supporting the Chief Compliance Officer and the Senior Leadership team for Banking ... effective. + Developing and coordinating communications for the Banking & International Chief Compliance Officer and Senior Leadership Team. + Leading… more
- Citigroup (Jersey City, NJ)
- Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for reviewing ... the Citi program framework. Primary responsibilities include providing day-to-day Compliance advice relating to transactional conflicts, operations,, and guidance on… more
- Citigroup (New York, NY)
- Serves as a senior Research, Marketing, and Content Compliance Officer for Independent Compliance Risk Management (ICRM) responsible for establishing ... with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating… more
- City of New York (New York, NY)
- …of plan beneficiaries and the City of New York. Reporting directly to the Chief Investment Officer , the Deputy Chief Investment Officer (DCIO) will ... Committee; Participate in the BAM's review and recommendation of investments across all asset classes including investment recommendations, portfolio… more
- Federal Reserve Bank (Newark, NJ)
- **Company** Federal Reserve Bank of Atlanta The SVP, Chief Investment Officer for the Office of Employee Benefits (OEB) in Newark, NJ, impacts the direction of ... role - to model expectations and to support the investment team. Additionally, occasional presence in the Atlanta Bank...(Goldman Sachs Ayco). As a member of the OEB's Senior Leadership Team, you will also contribute to the… more
- Wellington (New York, NY)
- …aligns our perspectives with those of our clients. **About the Role** The Compliance Officer will support Wellington Management's compliance program, ... these growth initiatives and implementing enhancements where necessary. The Compliance Officer will be a member of...Risk Group and will report to the Head of Investment Platform Compliance , Americas, working closely with… 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 ... rules and regulations; + **Working** with the US Chief Compliance Officer and the Director of US...regulatory matters and provide clear and insightful guidance to senior management and investment management personnel; +… more
- SMBC (New York, NY)
- …of benefits to its employees. **Role Description** SMBC is seeking a Director / Senior Credit Officer to cover Energy Corporates in North America. + The ... Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal...Director- Senior Credit Officer 's main responsibility entails the… more
- NYU Rory Meyers College of Nursing (New York, NY)
- …this job (https://uscareers-nyu.icims.com/jobs/13650/ senior -vice-president-for-finance-and-budget-and-chief-financial- officer ... seeks applications and nominations for the position of the Senior Vice President for Finance and Budget and Chief...Vice President for Finance and Budget and Chief Financial Officer (CFO) . Founded in 1831 with a mission… 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 ... the compliance program for an investment advisory firm...manuals, policies, and procedures. + Engage with and advise senior management and staff on all issues concerning US… more
- JPMorgan Chase (New York, NY)
- Acquisitions & Strategic Investments Group (A&SI) is a centralized global function within the Office of the Chief Financial Officer at JPMorgan Chase & Company ... business to evaluate, structure, and execute potential acquisition, divestiture, and minority investment transactions. A&SI is also involved with a broad range of… more
- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Compliance Officer - Policies and Procedures of ... across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a... compliance advisor for each regulated entity. The Compliance Officer Policies and Procedures will also… more