- Axis (New York, NY)
- …Accommodation is available upon request for candidates taking part in the selection process. Head of US Broker Compliance Job Family Grouping: Operations ... Compliance How does this role contribute to our collective success? As the Head of Broker Compliance at AXIS, you will play a pivotal role in ensuring… more
- City National Bank (New York, NY)
- * Head of Deposit and Operations Compliance * WHAT IS THE OPPORTUNITY? The Head of Deposit and Operations Compliance will act in a compliance advisory ... role supporting consumer banking on matters of regulatory compliance . The role will be responsible for managing and maintaining assigned areas of the compliance … more
- Capital One (New York, NY)
- Director, Head of Surveillance As the Director, Head of Surveillance, part of Capital One's Compliance organization you will manage Capital One's Electronic ... Capital One's Commodity Futures Trading Commission (CFTC) Swap Dealer and three Broker -Dealers. You will maintain the Surveillance function in order to reduce and… more
- Axis (New York, NY)
- …North America Reinsurance P&C Claims team. This role reports directly to the Global Head of Reinsurance Claims. The candidate should possess the ability to lead and ... and processes to ensure optimal efficiency and customer service, including compliance with Key Performance Indicators (KPIs) to ensure delivery of internal… more
- Guardian Life (New York, NY)
- **Job Description** Head of Life Insurance Marketing will lead the marketing strategy and execution for the Life Insurance line of business, reporting to the Head ... both existing and new products sold through the General Agency & broker distribution channel. + **Content Development & Management:** Oversee the creation,… more
- Broadridge Financial Solutions (New York, NY)
- …while helping others along the way, come join the Broadridge team. Reporting to the Head of Corporate Actions and Income Processing based in the UK with a dotted ... industry relationships (C suite) in the Wealth Management industry (front office, compliance , industry organizations and back office). + Proven track record of… more
- AIG (New York, NY)
- …insurance solutions for our global customers, empowering our clients and broker partners to navigate complex cross-border risks with confidence and consistency. ... and in alignment with and support of AIG USA's growth plans/strategies. + Support the Head of Multinational - North America to expand AIG MN's presence in the market… more
- CIBC (New York, NY)
- …to our Capital Markets and Canadian Commercial & Wealth franchises. Reporting to the Head of US Compliance Examination Program, the Compliance Examination ... Specialist is accountable for execution of the US Compliance Examination Plan established to ensure the company's ...+ OCC regulated trust company, + SEC registered/FINRA member Broker Dealer, + FDIC insured depository institution regulated by… more
- ARAMARK (New York, NY)
- **Job Description** In the absence of the Head Chef, the Sous Chef is to assume complete responsibility for the overall kitchen operation as per the Head Chef ... Day to day involvement to a high standard, in compliance with client contract. + To fully familiarise yourself...to safety and hygiene must be reported to the Head Chef or unit Manager + To assist in… more
- SMBC (Jersey City, NJ)
- …administers the SMBC Employee Investment Policy, arranges for the registration of broker -dealer personnel, and conducts compliance training. In addition, the ... portfolio of benefits to its employees. **Role Description** The SMBC Compliance Department monitors the corporate banking, investment banking and broker… more
- The Hartford (Morristown, NJ)
- …theirs, too. Join our team as we help shape the future. Reporting to the Head of Wholesale Excess Casualty East, the Managing Director's primary focus is on growing ... developing assigned region for excess casualty business, builds on existing broker relationships to increase production sources and identify profitable market… more
- Guardian Life (New York, NY)
- …will support marketing strategy for the annuity line of business, reporting to the Head of Annuity and Retirement Marketing. This person will be an integral member ... execute with excellence. Key stakeholders include Product Development, Distribution, Compliance , Legal, Technology, and outside vendors. **Responsibilities:** + Responsible… more
- Mizuho Corporate Bank (New York, NY)
- …Further, the team plays a key role (in collaboration with legal, compliance , IT, etc) in the analysis, requirements specifications, and implementation of new ... regulatory rules and will contribute analysis and translation of various Broker -Dealer regulatory requirements in collaborations with other stakeholders (eg, legal, … more
- Citigroup (New York, NY)
- …The Collateral Management Services Product Lead reports to the Global Product Head of Collateral Management, and will be responsible for strategy, platform, client ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to policy, applying… more
- JPMorgan Chase (New York, NY)
- …providers and administrators, financial operations, legal & compliance , staffing, financing/counterparty arrangements and information technology/cybersecurity + ... managers (typically senior level non-investment staff - COO, CFO, Head of Ops, CCO) and develop and maintain strong...inside and outside the firm, including service providers, Prime Broker consulting teams and members of industry peer groups… more