- 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 ... compliance advisor for each regulated entity. The Compliance Officer Policies and Procedures will also...scanning log for all US regulators. + Maintain US Compliance Training program . + Coordinate US … more
- Wellington (New York, NY)
- …the Role** The Compliance Officer will support Wellington Management's compliance program , focusing on the rules and regulations governing US registered ... infrastructure against these growth initiatives and implementing enhancements where necessary. The Compliance Officer will be a member of the Legal, … more
- City of New York (New York, NY)
- …external audit, financial reporting and programmatic fiscal processes to serve as Chief Compliance Officer . The selected candidate for this position will use an ... areas of concern. NYC Aging seeks a highly motivated Senior manager with broad-based experience in compliance ,...to fiscal oversight or of agency-wide significance, the Chief Compliance Officer duties and responsibilities will include… more
- City National Bank (New York, NY)
- ** COMPLIANCE OFFICER SENIOR ** **WHAT IS THE OPPORTUNITY?** The Senior Compliance Officer is responsible for managing and maintaining assigned ... areas of the compliance program including monitoring business area compliance with applicable laws and regulations, ensuring controls are in place to… 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 ... compliance risk, and is represented by the Chief Compliance Officer as either a member or...Legal and control function colleagues to enhance the overall Compliance program . + Escalates regulatory concerns and… more
- Wellington (New York, NY)
- … will support and provide leadership to Wellington Management's private investments compliance program , focusing on private credit. Wellington is expanding the ... of the role is to work with the Chief Compliance Officer to build-out, manage and execute...of material non-public information + Supporting Wellington's private investments compliance program (firmwide) regulatory risk areas including… more
- Bloomberg (New York, NY)
- …and correspond with regulators. We are seeking a Trade / Export Control Compliance Officer who is adept in US export control regulations specifically ... compliance across the various Bloomberg businesses. The Compliance Officer will maintain compliance ...entities globally. **We'll Trust You To:** + Lead Trade Compliance Program regarding export control restrictions as… 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 ... globally. You will provide support for ensuring our compliance programs are being followed by our...have a reporting line to a supportive and experienced compliance officer based in New York. You… more
- CIBC (New York, NY)
- …with the US Chief Compliance Officer and the Director of US Compliance Programs to develop, implement and maintain a comprehensive compliance ... based in Toronto, Ontario, Canada. **What You'll Be Doing** The PWM Chief Compliance Officer ("CCO") is responsible for developing, implementing, and maintaining… 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...**Responsibilities:** + Managing all aspects of a registered fund compliance program , including: + Annual Rule 38a-1… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a **Lead Compliance Officer ** in Corporate Risk as part of **Corporate & Investment Banking (CIB) Compliance .** ... areas and business divisions at wellsfargojobs.com . This Lead Compliance Officer will conduct monitoring activities of...+ Provide oversight and monitoring of business group risk-based compliance programs + Maintain compliance … 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 ... compliance risk, and is represented by the Chief Compliance Officer as either a member or...Legal and control function colleagues to enhance the overall Compliance program . + Escalates regulatory concerns 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 ... support of the Bank's business strategies and objectives. Provide advice on compliance with governing regulations and Bank internal policies and procedures. **What… more
- Citigroup (New York, NY)
- Serves as a senior Research, Marketing, and Content Compliance Officer for Independent Compliance Risk Management (ICRM) responsible for establishing ... programs . + Serving as a subject matter expert on Citi's Compliance programs . Provides expert guidance on function/business/product regulations on a… more
- S&P Global (New York, NY)
- …Officers and the Risk & Internal Controls team globally, the Data & Technology Covering Compliance Officer will be a direct liaison and a point of escalation ... to make observations and recommendations for improvement in the Compliance program . + In conjunction with colleagues...compliance vulnerability and risk and make recommendations to senior Risk & Compliance management as necessary.… 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...procedures. + Oversee the development and maintenance of trade compliance programs , policies, and automated systems, including… 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 ... programs . + Serving as a subject matter expert on Citi's Compliance programs . Provides expert guidance on function/business/product regulations on a… more
- Citigroup (New York, NY)
- Serves as a senior compliance risk officer .... Serves as a subject matter expert on Citi's Compliance programs . + Providing oversight and guidance ... and Canada. **Responsibilities:** + Designing, developing, delivering and maintaining best-in-class Compliance , programs , policies and practices for ICRM. +… more
- Citigroup (New York, NY)
- Serves as a senior product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, ... Subcommittee, Governing Body Working Group); and, implementing/executing regulatory requirements for compliance programs and Chief Compliance Officers.… more