- 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
- Citigroup (New York, NY)
- Serves as a function/business/product compliance risk officer as a **Senior Vice President for Equities Independent Compliance Risk Management (ICRM)** ... and reporting control issues with transparency. **Qualifications:** + Expertise of Compliance laws, rules, regulations, risks and typologies ( FINRA , SEC)… 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
- Wells Fargo (New York, NY)
- …Consultant) in Corporate Investment Banking (CIB) as part of The Chief Operating Officer (COO), within our CIB Banking Capital & Portfolio Management Group. Learn ... Visa sponsorship is not available + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background… more
- Marex (New York, NY)
- …awards. + Group SOX process owner for variable pay and deferred equity, ensure compliance within the group and by service providers. Cost Control + Work with HR ... issues that arise. + Supporting the Deputy Chief Financial Officer and the Chief Financial Officer on...may be developed from time to time. + Ensuring compliance with the company's regulatory requirements under the SEC,… 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
- US Bank (New York, NY)
- …within their access, and maintain a high standard of accuracy and compliance . Essential Functions: - Complete a variety of high-volume, process-driven tasks such ... as officer code and cost center changes, submission of account...and organized records across systems, following established procedures and compliance requirements. - Contribute to team efficiency by identifying… more
- Citigroup (New York, NY)
- …applicable **Qualifications:** + Relevant experience in Capital financial industry; compliance /supervisory/business risk experience preferred + FINRA Series 7, ... The Business Risk Officer is a strategic professional who stays abreast...Senior Management and partners including, but not limited to, Compliance , Legal, AML, Regional Business Risk, Regional COO and… more
- MUFG (New York, NY)
- …customers** + Responsible for the management of a portfolio as a credit officer + Perform due diligence and regularly scheduled reviews + Analyze credit risk ... pertinent to making a decision with little support from management. **Policy Compliance ** + Ensure compliance with external regulatory/internal policy and… 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