• Anti-Money Laundering (AML) Fraud…

    Capital One (New York, NY)
    Anti-Money Laundering (AML) Fraud Compliance Advisor Manager The Anti-Money Laundering (AML) Fraud Compliance Advisor Manager performs a key risk management role ... applicable AML laws and regulations. While working within the Compliance Management Program framework, the Compliance Advisor...credit card lines of business and the AML Fraud investigations group as a subject matter expert and executing… more
    Capital One (05/17/25)
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  • Head of Broker Compliance

    Axis (New York, NY)
    …internal stakeholders and external brokers. * Experience managing regulatory audits, investigations , and enforcement actions. * Proficiency in compliance ... candidates taking part in the selection process. Head of US Broker Compliance Job Family Grouping: Operations Group Job Family: Operations-Producer Compliance … more
    Axis (05/16/25)
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  • Quality and Compliance Specialist

    YAI (NY)
    …& Responsibilities + Supports the director in assessment and monitoring of compliance and quality of services across the California region, ensuring that agency ... programs are in compliance with all applicable rules, regulations and laws of...action(s). + Oversees the implementation of recommendations generated from investigations . + Performs internal audits of agency programs to… more
    YAI (05/16/25)
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  • Fixed Income Compliance Advisor - Vice…

    MUFG (New York, NY)
    …details. Our ideal candidate will possess a strong understanding of regulatory compliance , risk management, and business operations. This role requires someone who ... and able to effectively communicate with various stakeholders. + Assess regulatory/ compliance controls related to areas of coverage. This would include providing… more
    MUFG (05/15/25)
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  • Director, Markets Compliance Officer

    Scotiabank (New York, NY)
    Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary Range:** 180,000.00 - 301,500.00 _Please note that the Salary Range shown is a guideline ... drive ambition for every future! **Purpose** In this role, you will provide senior compliance support for the Scotiabank US Sales and Trading businesses by acting as… more
    Scotiabank (05/14/25)
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  • SVP, Compliance Product Sr Officer I…

    Citigroup (New York, NY)
    Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal ... with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating… more
    Citigroup (05/13/25)
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  • FICC Sales and Trading Compliance

    SMBC (New York, NY)
    …competitive portfolio of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory advisory function and is responsible for ... overseeing the management of the broker dealer's compliance risk, and is represented by the Chief ...Contributes to various reporting requirements and other ad hoc investigations . + Work with Global Advisory team and other… more
    SMBC (05/12/25)
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  • Broker Dealer Regulatory Governance…

    SMBC (New York, NY)
    …a competitive portfolio of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory advisory function within the overall ... Compliance program and is responsible for overseeing the management...Contribute to various reporting requirements and other ad hoc investigations . **Qualifications and Skills** + Critical Job Knowledge and… more
    SMBC (05/12/25)
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  • Junior Attorney, Compliance & Enforcement

    City of New York (New York, NY)
    …in order to facilitate affordable housing development. Housing Incentives' Compliance and Enforcement (C&E) division investigates and takes enforcement action ... of four teams: - Tax Incentives - Tax Credits - Inclusionary Housing - Compliance and Enforcement Your Impact: As an Attorney for Housing Incentives' Compliance … more
    City of New York (05/10/25)
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  • Senior Compliance Analyst

    City of New York (New York, NY)
    …participation in housing development projects benefiting from state housing incentives. Investigations & Risk Mitigation - Investigate potential non- compliance ... Your Team: The Division of Economic Opportunity and Regulatory Compliance (EORC) supports HPDs mission by reviewing the integrity...the Agency. The Office of Economic Opportunity and Regulatory Compliance is composed of 5 Units: - Labor Monitoring… more
    City of New York (05/04/25)
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