- US Bank (New York, NY)
- …financial goals with confidence and integrity. The Asset Management Group Chief Investment Officer (CIO) is a key executive responsible for shaping and executing the ... allocation, and investment strategy + Strong understanding of regulatory and compliance requirements + Exceptional communication skills, including media and public… more
- Citigroup (New York, NY)
- The Investment Relationship Officer is a seasoned professional role. Applies in-depth disciplinary knowledge, contributing to the development of new techniques and ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...external + Ability to manage multiple concurrent deadlines + FINRA SIE, Series 7, Series 66 required (or obtained… more
- PNC (Garden City, NY)
- …have an opportunity to contribute to the company's success. As a Mortgage Loan Officer within PNC's Mortgage organization, you will be based in greater Metro NYC and ... solutions and refers products and services; reviews documentation to ensure compliance . Manages customer pipeline for efficiency. + Collaborates with internal and… more
- GE Vernova (New York, NY)
- …will report to the Enterprise Development, Growth & Excellence ("EDGE") Chief Compliance Officer in New York, NY. **Job Description** **Essential ... risk profile of the Company to the EDGE Chief Compliance Officer and commercial resources. + Risk...and private equity. + Experience with and understanding of compliance obligations for broker-dealers which are FINRA -member… 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 ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- Neuberger Berman (New York, NY)
- …join the Compliance Team in New York. This person will report into the Chief Compliance Officer - Central Compliance . In this role, the primary focus is ... to contribute to collaborative projects across the firm's global compliance program. **Primary Responsibilities:** + Review and analyze reports generated… more
- SMBC (New York, NY)
- …of the broker dealer's compliance risk and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... a competitive portfolio of benefits to its employees. **Role Description** The Compliance group within SMBC Nikko Securities Inc. serves as a regulatory advisory… more
- CIBC (New York, NY)
- …incidents of non- compliance to the relevant Global Markets business head, senior Compliance officer and, if appropriate, head of US Global Markets for ... do occur. Regulatory Supervision is a business role (not Compliance ) and is delegated the responsibility to supervise on...Procedures (WSPs) to comply with applicable trading regulations (SEC, FINRA , CFTC, NFA and others) + WSPs must clearly… more
- TD Bank (New York, NY)
- …Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to deliver a ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $250,000 USD TD is...FINRA , FCA, CIRO, etc.) and aligns with internal compliance policies. + Technology & Automation: Collaborate with Technology… more
- MUFG (New York, NY)
- …details. Reporting into the Managing Director, Regional Head of Americas AML Program Officer (APO), the role supports the BAU activities of the Financial Crimes ... of local AML procedures and controls that comply with the Bank's AML compliance requirements, including those set forth in this US Addendum, and reviewing these… more