- HSBC (Buffalo, NY)
- …our communities and the planet we all share. As the Business Manager for US Chief Control Officer Team function within US COO, we are accountable for driving ... As part of the First Line of Defense, the CCO ensures the bank operates within its risk appetite...of industry trends. As our Business Manager for US Chief Control Officer Team you will: +… more
- US Bank (New York, NY)
- …excel 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 ... in a CCO role or securities related -Prior experience with compliance or operational aspects of ETFs - Strong knowledge of federal securities regulations… more
- City of New York (New York, NY)
- …and external audit, financial reporting and programmatic fiscal processes to serve as Chief Compliance Officer . The selected candidate for this position ... matters related to fiscal oversight or of agency-wide significance, the Chief Compliance Officer duties and responsibilities will include but not… more
- BMO Financial Group (New York, NY)
- The BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker-dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and Clearpool ... Execution Services, LLC (CES). The broker-dealer CCO would manage the implementation, maintenance and administration of the broker-dealer compliance programs.… more
- Healthfirst (NY)
- …limited to inbound/outbound calls/emails/chats, onsite/remote/virtual/field location, on behalf of CCO . + Meets/Exceeds all performance KPIs including but not ... information, and adheres to local, state, federal and Healthfirst specific compliance and regulatory guidelines. + Builds sustainable relationships of trust through… more
- LIFEPlan CCO NY (Poughkeepsie, NY)
- …Join LIFEPlan COO NY: Be the Difference in Someone's Life At LIFEPlan CCO NY, we believe every person with intellectual and developmental disabilities (IDD) deserves ... Duties and Responsibilities: + Deliver person-centered care management services in compliance with regulatory standards and in alignment with the agency's quality… more
- JPMorgan Chase (New York, NY)
- …Investment Funds within the Asset Management Compliance team , you will serve as the Chief Compliance Officer ( CCO ) where you will lead oversight of ... complex and dynamic fund structures in the industry as Chief Compliance Officer , working closely...Act of 1940. + Experience serving in a designated compliance leadership capacity (eg, Deputy CCO , … 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** ... aligned to the strategic risk profile of the Company to the EDGE Chief Compliance Officer and commercial resources. + Risk Assessment: Demonstrate strategic… more
- TD Bank (New York, NY)
- …and providing coaching and counseling as needed. The Compliance Manager supports the Chief Compliance Officer ( CCO ) in ensuring the Bank's ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD...Description:** **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more… more
- TD Bank (New York, NY)
- …support, guidance and analysis on regulatory/ compliance /technology issues. Position will support the Chief Compliance Officer ( CCO ) in ensuring the ... provide you more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance assists in the… more
