- Bloomberg (New York, NY)
- … with current/developing rules and regulations, and correspond with regulators. We are seeking a Trade / Export Control Compliance Officer who is adept in US ... Military End Users). You will work with the Global Trade Compliance Team, collaborate across the Bloomberg... compliance across the various Bloomberg businesses. The Compliance Officer will maintain compliance … more
- Tradeweb (New York, NY)
- Tradeweb Compliance is looking for a junior to mid-level compliance officer to support our core compliance functions across our regulated entities ... have a reporting line to a supportive and experienced compliance officer based in New York. You...than 65 countries across the globe. Since our first trade in 1998, we have helped transform and electronify… 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 ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… 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 ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… 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 ... and internal policies and procedures. + Oversee the development and maintenance of trade compliance programs, policies, and automated systems, including for both… more
- Citigroup (New York, NY)
- Serves as a senior product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, ... non- compliance issues and promote a culture of compliance . + Participating in industry groups and trade... compliance . + Participating in industry groups and trade association working groups or other forums. + Additional… more
- SMBC (Jersey City, NJ)
- …of benefits to its employees. **Role Description** SMBC Group is seeking a Compliance Transformation Officer for the Compliance Department Americas Division ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...("CPAD"). This team focuses on several key compliance risk types, including consumer compliance , investment… more
- Citigroup (Jersey City, NJ)
- Serves as a senior CitiDirect & CitiConnect product compliance risk 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
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for Surveillance Intelligence Unit (SIU) within Independent Compliance Risk Management (ICRM)'s Surveillance and Employee ... Compliance program encompasses a number of portfolios including trade surveillance, e-communications and voice surveillance, employee personal trading,… more
- Citigroup (Jersey City, NJ)
- Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for reviewing transactions ... 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
- Marex (New York, NY)
- …(http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Executive Compliance Officer - Solutions Advisory position will ... Marex Solutions Policies and Procedures and Written Supervisory Procedures. + Provide Compliance Advisory services for US Marex Solutions Trade Surveillance… 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 ... an important bridge to this key global market for trade and investment flows across the Americas and the...the Bank's business strategies and objectives. Provide advice on compliance with governing regulations and Bank internal policies and… more
- Tradeweb (New York, NY)
- …will be responsible for managing interactions with regulatory agencies to ensure compliance with applicable laws and regulations. You will be responsible for ... requirements are essential for this role. You will provide compliance advice in a fast-paced business setting, with the...than 65 countries across the globe. Since our first trade in 1998, we have helped transform and electronify… more
- Citigroup (New York, NY)
- …Credit Management Counterparty Credit Risk - Funds Underwriting Credit Officer , Asset Management Companies, VP** **Description** Citi's Commercial Bank (CCB) ... the ICM CCR Funds UW Team and will based in NYC. The Funds UW Credit Officer facilitates the end-to-end lending process and is essential for the delivery of a wide… more
- SMBC (Jersey City, NJ)
- …Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the ... employees. **Role Description** This role will manage and oversee all Compliance -related issues (ie, Internal Audit, Compliance , self-identified and Regulatory),… more
- SMBC (Jersey City, NJ)
- …Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the ... SMBC Group is seeking a Vice President for the Compliance Risk Assessment team ("CRA team") within the ...Compliance Risk Assessment team ("CRA team") within the Compliance Department Americas Division ("CPAD"), reporting to the Executive… more
- SMBC (New York, NY)
- …Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the ... rule, and be able to implement, and manage SMBC's compliance program for the Volcker Rule. On a day-to-day...and regional Volcker Offices on various aspects of Volcker compliance . The Director will be responsible for rigorously supporting… more
- City of New York (New York, NY)
- …perform tasks and assignments in the fields of Cyber security Awareness, Governance, Compliance , and other relevant and required duties for the Cyber security ... posture. Governance: Establish and maintain governance frameworks to ensure compliance with regulatory requirements, industry standards, and internal policies within… more
- Citigroup (New York, NY)
- **Citi Commercial Bank - Commercial Lending Management - Credit Officer , Consumer Products & Retail, SVP** **Description** Citi's US Commercial Bank (CCB) is a ... in either New York City, New York or Iselin, NJ. The CLM Credit Officer facilitates the end-to-end lending process for a covered industry vertical through a team… more