- CIBC (New York, NY)
- …institution based in Toronto, Ontario, Canada. **What You'll Be Doing** The PWM Chief Compliance Officer ("CCO") is responsible for developing, implementing, ... SEC, OCC, and state of Delaware rules and regulations; + **Working** with the US Chief Compliance Officer and the Director of US Compliance Programs to… more
- Capital One (New York, NY)
- …Park Avenue (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… more
- Arena Investors LP (New York, NY)
- …function overseeing Arena's principal lines of business. The CRO will partner with our Chief Compliance Officer (CCO) and our operating Business Leaders to ... areas where conventional sources of capital are scarce. We are seeking a Chief Risk Officer (CRO) to join Arena. The newly created role will create a… more
- CUNY (Queens, NY)
- HR Chief Diversity Officer - Diversity and Compliance : York College/CUNY **POSITION DETAILS** York College, founded in 1966, is a center of academic ... College/CUNY is seeking candidates to fill the position of Chief Diversity Officer . York College is located...supervision and direction to the Office of Diversity and Compliance which is responsible for promoting DEI programs in… more
- Citigroup (New York, NY)
- …ICRM CAO is a member of the ICRM leadership team working daily with the Citi Chief Compliance Officer and the ICRM leadership team related to the following: ... + Independent Compliance Risk Management is Citi's second line compliance risk oversight function chartered to provide ongoing challenge and oversight of the… more
- 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 ... laws and other regulations, and ensure our organization remains in compliance . The Chief Compliance Officer of PAS will also play a key role in providing… more
- Citigroup (New York, NY)
- …Management (ICRM) responsible for leading and managing business execution activities, supporting the Chief Compliance Officer and the Senior Leadership team ... working together to deliver priority change initiatives for the office of the Chief Compliance Officer . In addition, this role plays engages with ICRM… more
- S&P Global (New York, NY)
- …and to the Regional Covering Compliance Managers (RCCM) and, at times, the Chief Compliance Officer (North America) on significant compliance matters ... **About the Role:** **Grade Level (for internal use):** 12 **The Role: Compliance Officer ** The Compliance Officer role is based in Englewood or New York… more
- SMBC (New York, NY)
- …the management of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various ... Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or process with a large… more
- Constructive Partnerships Unlimited (Manhattan, NY)
- … Compliance Program. Will work under the direct supervision of the organization's Chief Compliance Officer . Shift Worked: EXEMPT 37.5 Weekly Hours: 37.5 ... Program. Will work under the direct supervision of the organization's Chief Compliance Officer . The Compliance Audit Specialist will conduct… more
- MTA (New York, NY)
- …- $104,700 HAY POINTS: 519 DEPT/DIV: MTA Corporate Compliance SUPERVISOR: Agency Chief Compliance Officer LOCATION: 2 Broadway HOURS OF WORK: 9:00 ... attention. + Manage the analytical and administrative work generated by the Agency Chief Compliance Officer and Compliance Director as part of Internal… more
- Scotiabank (New York, NY)
- …industries! We work together to drive ambition for every future! **Purpose:** Acts as the Chief Compliance Officer for the US broker dealer and Head of ... governing regulations and internal policies and procedures. + Performs the duties of a Chief Compliance Officer , as required by FINRA and SEC rules and is… more
- Wellington (New York, NY)
- …investments business. Therefore, a key responsibility of the role is to work with the Chief Compliance Officer to build-out, manage and execute the ... Legal and Enterprise Risk Group and will report to the Private Investments Chief Compliance Officer , working closely with other compliance professionals… more
- SMBC (New York, NY)
- … Compliance Department (ie, Compliance Administrative Officer and Chief Compliance Officer ). **Role Objectives** + Assist with the management ... **Role Description** SMBC would like to hire a Senior Compliance Program Manager who would be responsible for the...and oversight of the Americas Division Compliance Department (CPAD). + Provide broad support… more
- Google (New York, NY)
- …and RCI. This role will manage a global team and will report directly to Google's Chief Compliance Officer . The US base salary range for this full-time ... years of professional experience. + 3 years of experience in Audit or Compliance leadership role(s) in industry. Preferred qualifications: + One or more professional… more
- SMBC (New York, NY)
- …the management of the broker dealer's compliance risk and is represented by the Chief Compliance Officer as either a member or observer of various ... a competitive portfolio of benefits to its employees. **Role Description** The Compliance group within SMBC Nikko Securities Inc. serves as a regulatory advisory… more
- Citigroup (New York, NY)
- …**Role** The Global Head of AML Risk Management - Wealth reports to Citi's Chief Compliance Officer (CCO) Anti-Money Laundering (AML) / Bank Secrecy ... AML matters relevant to Wealth.** **Set, develop, and implement strategic AML compliance risk management direction for the Wealth group globally including other… more
- Neuberger Berman (New York, NY)
- …: + To work as an Administrative Coordinator and Compliance Assistant supporting the Chief Compliance Officer and other senior members of the Legal and ... Compliance Department + Answer, screen and route a high...detailed messages as needed + Assist and perform various compliance related responsibilities, including, but not limited to, conducting… more
- BD (Becton, Dickinson and Company) (Franklin Lakes, NJ)
- …member of the Ethics & Compliance organization and will report to the SVP, Chief Ethics & Compliance Officer . The successful candidate will serve as the ... possible** with us. The Assistant General Counsel, Compliance will be a... Compliance Officer for at least two BD Business Units, providing counsel on a… 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