- DWS Group (New York, NY)
- Job Description: Employer: DWS Group Title: AFC Compliance Officer (AFC & Compliance Officer ) Location: New York City Job Code: #LI-LV2 #LI-02 About DWS: ... DWS clients` activities or transactions. Role Details As a/an AFC & Compliance officer , you will (be): Acting as AFC advisor for DWS including Sanctions… more
- SMBC (New York, NY)
- …findings or recommendations; + M&T findings or recommendations; and/or + Observations by Compliance officer or business staff member + Coordinate with relevant ... the Regulatory Governance team is responsible for production of Annual Compliance Reports and related senior officer certifications. **Responsibilities:** +… more
- Tradeweb (New York, NY)
- …compliance /posters/pdf/eeopost.pdf **Group Details** Tradeweb is seeking a mid-to-senior level Compliance Officer with deep expertise in data privacy, privacy ... privacy and ethical AI practices across business operations. This role will champion compliance with global privacy laws (eg, GDPR, CCPA), drive privacy by design in… more
- HSBC (New York, NY)
- …by policy. Contain compliance risks in liaison with the Head of Group Compliance , Global Business Compliance Officer , Area Compliance Officer ... or Local Compliance Officer , ensuring adequate compliance resources and training, fostering a compliance culture and optimizing relations with… more
- Rockefeller University (New York, NY)
- …conduct program assessments; conduct routine and emergency monitoring for compliance with occupational exposure limits. Responsibilities The Assistant Safety ... Officer II will serve as the primary back-up to the Associate Safety Officer . In addition, the ASO II will assist in the following capacity: Industrial… more
- Rockefeller University (New York, NY)
- …University is seeking a strategic and forward-thinking Chief Information Security Officer (CISO) to lead and manage the university's information security program. ... Reporting to the Chief Information Officer (CIO), and working with the IT leadership team...implement, and maintain policies and procedures aligned with research compliance , grant requirements, and federal regulations (eg, NIST 800-171,… more
- SMBC (New York, NY)
- …Advises and records all Wall Crossings. + Liaises with EMEA and Tokyo Compliance to ensure global consistency where necessary and/or desirable. + Performs local ... Conflicts of Interest (COI) checks **Qualifications and Skills** + Prior Control Room experience preferred. + Ability and confidence to successfully interact with management and senior bankers. + Ability to analyze complex situations and provide guidance in… more
- SMBC (New York, NY)
- …Provide feedback and guidance, as necessary, to business units to ensure compliance with internal policies and procedures standards. + Monitor and supervise problem ... loan reviews and pass watch or any special credit reviews. + Manage compliance with internal policies, workflow procedures and ensure US regulatory requirements are… more
- SMBC (New York, NY)
- …to front office to ensure consistent and complete credit applications and compliance with internal policies and procedures + Ensure US Regulatory requirements are ... met with each credit application + Other credit related works/projects as assigned **Qualifications and Skills** + Minimum 3 years of relevant work experience in the financial services industry within the credit function as a credit analyst, including… more
- Reklame Health, Inc (New York, NY)
- …the effective alignment of provider satisfaction, member outcomes, and regulatory compliance . You will be responsible for driving strategic innovation, relentlessly ... environment where providers are well-supported, members receive outstanding care, and compliance is achieved with precision and integrity. This position ensures that… more
- SMBC (New York, NY)
- …to its employees. **Role Description** This position supports the Chief Credit Risk Officer as well as Co-Head(s) of CDAD as a business management and coordination ... trackers, and organizational diagnostics to support strategic initiatives. + Monitor compliance with policies and procedures related to problematic assets, including… more
- HSBC (New York, NY)
- …budget for the global team. Prepare for Quarterly Business Reviews with Chief Legal Officer . Partner with lawyers and law firms to ensure all external legal spend is ... across the global team comply with all internal global policies, compliance , and audit requirements. Continually reassess and address any operational, regulatory… more
- SMBC (New York, NY)
- …real property appraisals Reporting Relationships + Reports to the Chief Risk Officer + Direct Reports: + Deputy Chief Appraiser + Appraisal Administrator **Principal ... reviewed appraisals and evaluations for accuracy, completeness, logic, and regulatory compliance . + Resolves appraisal and/or valuation issues for SMBC departments… more
- Principal Financial Group (New York, NY)
- …agility, and innovation in close partnership with the Chief Information Officer , investment and operations professionals, and business stakeholders. This leader will ... environments is highly valued. + Experience working with regulatory officials and compliance professionals + Proven ability to operate effectively in a global… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS US Compliance ... US and global businesses, working with regional teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance … 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 in ... to detail and ability to work independently. **General Job Posting:** The Compliance Officer supports consumer regulatory compliance functions for… 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 ... Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to deliver a… more
- Insight Global (New York, NY)
- Job Description The Compliance Officer will work closely with the members of a team focusing on regulatory compliance issues with respect to marketing and ... other investor/third party materials and communications. The Compliance Officer will serve as the primary day to day contact for the business regarding marketing… 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 ... matters related to fiscal oversight or of agency-wide significance, the Chief Compliance Officer duties and responsibilities will include but not be limited to:… more
- TD Bank (New York, NY)
- …you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS US ... global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance … more
