- CIBC (New York, NY)
- …CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Swap Dealer Compliance Officer is responsible for performing important advisory, ... Swap Dealer Compliance program. The Swap Dealer Compliance Officer is primarily responsible for 1)...assessments of US regulatory requirement group topics to determine risk ratings under CIBC's Regulatory Compliance Management… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR* WHAT IS THE OPPORTUNITY? The Compliance Officer Senior - Mortgage is responsible for managing and maintaining assigned areas ... applicable laws and regulations, ensuring controls are in place to mitigate compliance risk . Maintaining regulatory change management, policies and procedures,… more
- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk officer covering North American Cash Equities Sales and Trading businesses. The role is ... of best-in-class Compliance , programs, policies and practices for Independent Compliance Risk Management (ICRM). Translates ICRM strategy and goals across… more
- L3Harris (Rochester, NY)
- …and cyber domains in the interest of national security. Job Title: Lead, Legal Compliance (Ethics & Compliance Officer ) Job Location: Multiple: Rochester, ... seeking an experienced, proactive and solutions focused Ethics & Compliance Officer (ECO) who will be responsible...procedures, tools and training that promote knowledge and strict compliance with regulatory requirements and reduce risk … more
- Marex (New York, NY)
- …For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide ... all activities are conducted in accordance with the law. Compliance Officers monitor transactions, conduct regular audits,...working in a regulated environment and knowledge of the risk and compliance requirements associated with this.… more
- Raymond James Financial, Inc. (New York, NY)
- …Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision ... of the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive strategic… more
- Bloomberg (New York, NY)
- Senior Compliance Officer - Data Privacy -... Compliance Location New York Business Area Legal, Compliance , and Risk Ref # 10043072 **Description ... in partnering with the business and support functions to conduct analyses of the key personal data processing of...privacy laws as well as expertise in managing privacy risk and compliance ; * Ability to work… more
- Bloomberg (New York, NY)
- Compliance - Compliance Officer - Indices/ Benchmark Administration Location New York Business Area Legal, Compliance , and Risk Ref # 10044966 ... the organization + Develop and streamline new and existing compliance processes + Plan, prepare and conduct ...compliance matters + Experience of identifying and managing risk , including risk framework and issue management… more
- BMO Financial Group (New York, NY)
- …assist in the implementation, maintenance and administration of the Fixed Income compliance program. Coordinate and performs risk assessment, monitoring, testing ... recommendations that significantly impact the Bank's ability to monitor regulatory compliance programs, minimize operational risk and align with regulatory… more
- Citigroup (New York, NY)
- …product/market conditions, as well as the appropriate credit structure based on various risk considerations. The CLM Credit Officer is responsible for approving ... will based in New York, NY. The CLM Credit Officer facilitates the end-to-end lending process for a covered...working in direct partnership with Relationship Managers and Independent Risk , to execute on the firm's and client's business… more