- MetLife (Whippany, NJ)
- … Compliance Officer to join the team. The Compliance Officer will be primarily responsible for key regulatory compliance activities including ... filings, regulatory change management, licensing and registration, and core regulatory compliance programs. This role will work closely with the MIM… more
- Banco Popular Puerto Rico (New York, NY)
- …2025 Location: New York, NY, US, 10004 Company: Popular Workplace Type: Hybrid Senior Compliance Officer II - Regulatory US B Regulatory ... Compliance We are looking for a Senior Compliance Officer to join...Lakes, FL. The right candidate will support the consumer regulatory compliance functions for Popular Bank, including… more
- JPMorgan Chase (New York, NY)
- …outside the box, challenging the status quo and striving to be best-in-class. As a Regulatory Strategy Senior Officer - Associate within the Firmwide ... of potential issues. + Establish and develop effective relationships within Compliance and with the Business, Operations, Finance, Regulatory Reporting,… more
- SMBC (New York, NY)
- … Regulatory Governance team is responsible for production of Annual Compliance Reports and related senior officer certifications. **Responsibilities:** ... reminders and other communications. + Support production of Annual Compliance Report and related senior officer...Must be well organized with project management skills. + Regulatory compliance experience at a broker dealer… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance assists ... Attentiveness to detail and ability to work independently. **General Job Posting:** The Compliance Officer supports consumer regulatory compliance … more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** **Position:** Senior FCRM Compliance Officer **Reports to:** Director, Financial ... mitigates financial crime risk. This involves providing guidance on regulatory compliance , close partnership with business and...financial crime risks of new products and mandates. The Senior FCRM Compliance Officer is… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR -MORTGAGE ORIGINATION* WHAT IS THE OPPORTUNITY? The Compliance Officer Senior - Mortgage is responsible for managing ... applicable laws and regulations, ensuring controls are in place to mitigate compliance risk. Maintaining regulatory change management, policies and procedures,… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR -INVESTMENT ADVISORY* *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance oversight ... *Must-Have** * Bachelor's Degree or equivalent * Minimum 7 years of compliance , regulatory compliance with respect to registered investment adviser products… more
- JPMorgan Chase (Jersey City, NJ)
- …and striving to be best-in-class. As an Employee Conduct Senior Officer supporting the Global Anti-Corruption Compliance (GACC) and Government Engagement ... the firm's Global Employee Compliance and Conduct organization, which provides compliance coverage in relation to key employee-related regulatory and … more
- TD Bank (New York, NY)
- …your recruiter who can provide you more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS US ... Excel, Word, PowerPoint and SharePoint. **General Job Description:** The Senior Compliance Officer provides advice,...guidance and support to business units in adhering to regulatory / compliance requirements and assists in implementing … more
- City National Bank (Jersey City, NJ)
- *INTERNAL CONTROLS OFFICER SENIOR * WHAT IS THE OPPORTUNITY? Internal Controls Officer is responsible for providing independent and objective oversight of the ... and execution rigor to significant operational risk remediation activities. The Senior Officer is responsible for challenging the quality, sufficiency,… more
- HUB International (New York, NY)
- …investment advisor and limited purpose FINRA Broker-Dealer: The Chief Compliance Officer , will be a highly visible, senior leadership position, reporting ... into the Global/Executive Chief Compliance and Risk Officer , working closely with RPW senior leadership...strategic business initiatives. + 10+ years' experience as a senior SEC regulatory compliance professional… 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...and other tracking reports as deemed necessary. * Conduct regulatory compliance monitoring activities as assigned and… more
- JPMorgan Chase (New York, NY)
- …shape credit policies, underwriting standards, and risk management frameworks. + ** Regulatory Compliance :** Ensure adherence to banking regulations and internal ... As the Managing Director, Senior Credit Strategy Officer , Chase Auto,...bank's financial goals. This role requires deep analytical expertise, regulatory knowledge, and collaboration with internal teams to balance… more
- Bloomberg (New York, NY)
- …for the Americas. The BSA AML Officer will be responsible for ensuring compliance with all relevant legal and/or regulatory requirements for AML. As the BSA ... Compliance - US Bank Secrecy Act (BSA) Officer - New York Location New York Business Area...Bloomberg's non-regulated products and services. We work to address regulatory issues, ensure compliance with current/developing AML… more
- New Jersey Institute of Technology (Newark, NJ)
- Title: Chief Compliance Officer Department: Office of Institutional Compliance Reports To: General Counsel, Senior Vice President of Legal Affairs and ... Type: Staff Position Summary: The Chief Compliance Officer (CCO) serves as the senior executive...the effectiveness of the compliance program to senior leadership and relevant university committees. Regulatory … more
- Capital One (New York, NY)
- Senior Business Manager, BA - Data Transformation, Office of the Chief Data Officer At Capital One, data and analytics are at the center of everything we do. It ... transform banking and financial services. We are seeking a Senior Manager to help drive our enterprise data transformation...Capital One in the face of shifting consumer and regulatory behavior + **Business ownership:** Have an ownership mindset… more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS ... working with regional testing teams across the globe. This Compliance Officer will also support other aspects...senior and line managers and other stakeholders on regulatory interactions. + Strong analytical skills, attention to detail,… more
- Bloomberg (New York, NY)
- Compliance Officer - Data, Research and Analytics Location New York Business Area Legal, Compliance , and Risk Ref # 10047120 **Description & Requirements** ... regulated entities, as well as non-regulated offerings. We work to address regulatory issues, ensure compliance with current/developing rules and regulations,… more
- NYU Rory Meyers College of Nursing (New York, NY)
- Position Summary The Chief Global Compliance Officer ("CGCO") is responsible to the Senior Vice President, General Counsel for developing, executing, and ... enforcing the Global Ethics and Compliance Program in order to ensure compliance with evolving laws and regulatory requirements in addition to University… more