- US Bank (New York, NY)
- …at-all from Day One. **Job Description** This position within RSS will serve as the Chief Compliance Officer (CCO) for one of our multiple series trusts ... - Ten or more years of experience in a compliance or financial industry related role, preferably in a...a CCO role or securities related -Prior experience with compliance or operational aspects of ETFs - Strong knowledge… more
- JPMorgan Chase (New York, NY)
- …accountability, and enterprise perspective. **Job Responsibilities:** + Serve as Chief Compliance Officer of a registered investment fund focused on ... **Preferred Qualifications, Capabilities and Skills:** + Experience as Chief Compliance Officer of a registered investment company. + Subject matter… more
- Equitable (New York, NY)
- Deputy Chief Investment Officer - General Account ( 250000IH ) **Primary Location** : UNITED STATES-NY-New York **Organization** : Equitable **Schedule** : ... Office is expanding its leadership team and searching for a Deputy Chief Investment Officer -a single, integrated leadership role encompassing strategic… more
- HUB International (New York, NY)
- …for assisting the Global/Executive Chief Compliance and Risk Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA ... advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer ,...of operations and advisor staff. + Participate in the investment due diligence process for SEC compliance … more
- City National Bank (New York, NY)
- * CHIEF FIDUCIARY OFFICER WM* *WHAT IS THE OPPORTUNITY?* The Chief Fiduciary Officer provides strategic direction and oversight for the bank's trust and ... requires a deep understanding of fiduciary law, risk management, regulatory compliance , and investment oversight. *WHAT WILL YOU DO?* * Regulatory compliance… more
- New York Genome Center (New York, NY)
- The Chief Financial Officer (CFO) is a critical position who serves as the New York Genome Center's financial leader, responsible for the organization's overall ... and facilities. Reporting directly to the Scientific Director and Chief Executive Officer (CEO), the CFO is...the assigned areas of responsibility. Hold responsibility for performing investment , debt, and treasury activities. + Lead a team… more
- Raymond James Financial, Inc. (New York, NY)
- …essential risk context. . Reports risk-related data including risk exposure, compliance to risk policies, and effectiveness of current risk management strategies ... standard risk management practices . Broker-dealer supervisory frameworks, retail investment platforms, and UHNW product risks including structured products,… more
- TD Bank (New York, NY)
- …**Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team. The team supports ... framework. Specifically, the Data Quality Team works with TDS Chief Data Officer (CDO), Data and Delivery...Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office… more
- TD Bank (New York, NY)
- …guidance and analysis on regulatory/ compliance /technology issues. Position will support the Chief Compliance Officer (CCO) in ensuring the Bank's ... who can provide you more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance assists in… more
- SMBC (New York, NY)
- …and procedures with regard to real property appraisals Reporting Relationships + Reports to the Chief Risk Officer + Direct Reports: + Deputy Chief Appraiser ... its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects… more
- Neuberger Berman (New York, NY)
- …accounts, including Personal Trusts, Collective Investment Trusts (CITs), and Outsourced Chief Investment Officer (OCIO) clients, such as endowments, ... dually to Sam Petrucci, Head of Advice, Planning & Fiduciary Services, and Shannon Saccocia, Chief Investment Officer - Wealth. The Trust Investment … more
- Principal Financial Group (New York, NY)
- …champions engineering excellence, agility, and innovation in close partnership with the Chief Information Officer , investment and operations professionals, ... **What You'll Do** The AVP - Global Head of Investment Management Technology will be accountable for shaping and driving a forward-looking global technology … more
- GE Vernova (New York, NY)
- …Stamford, CT, and will report to the Enterprise Development, Growth & Excellence ("EDGE") Chief Compliance Officer in New York, NY. **Job Description** ... strategic risk profile of the Company to the EDGE Chief Compliance Officer and commercial...global regulated business activities, products and services + Registered Investment Adviser Obligations: Assess compliance obligations and… 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 ... its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects… more
- MTA (New York, NY)
- …and alternative funding strategies as well as special projects as determined by the Chief Financial officer from time to time. Responsibilities: + Help guide and ... The Senior Director, Debt Financing reports to the Deputy Chief , Financial Services and is responsible for structuring and...the C suite in representing MTA to the global investment community and is expected to apply financial expertise… more
- Federal Reserve Bank (Newark, NJ)
- …Communications, Senior Vice President and OEB Chief Counsel, Senior Vice President and Chief Investment Officer , Senior Vice President and Chief ... Plans, Benefits Analysts, Consultants, and Manager) Other key relationships: + President and Chief Executive Officer , Federal Reserve Bank of Atlanta + OEB… more
- JPMorgan Chase (Brooklyn, NY)
- …accurate data on the firm's wholesale credit risk, serving key stakeholders including the Chief Risk Officer , Chief Financial Officer , Risk Management, ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...Produce a quarterly credit risk update for the Firm's Chief Financial Officer to prepare for quarterly… more
- City of New York (New York, NY)
- …CTO ( Chief Technology Officer ), CPO ( Chief Product Officer ), Budget, Enterprise Architecture, Planning & Compliance , and Information Security. Your ... has committed $5 billion in new capital funding, bringing the 10-year planned investment in housing to $22 billion the largest in the city's history. This… more
- Aflac (New York, NY)
- …to : Director, Head of Data Governance GI Business Partners: GI Front Office, Investment Compliance , GI Data Management (Japan), Investment Accounting, Tax, ... New York City, NY, US, 10005 The Division: Global Investment Job Id: 8073 About Our Company Aflac Asset...Strategy and Governance Manager is a member of the Chief Operating Officer Team. As a member,… more
- JPMorgan Chase (New York, NY)
- …on a Chief Financial Officer (CFO) / Chief Operating Officer (COO) team + Experience with Investment Banking products + Strong executive presence ... projects, analyses and leads ad hoc special projects as well as compliance support. Business Management needs highly-motivated creative thinkers who can leverage… more