- HUB International (New York, NY)
- …Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures . This means assisting in ... investment advisor and limited purpose FINRA Broker-Dealer: The Chief Compliance Officer , will be a highly visible,...up of the firm's Code of Ethics and other policies and procedures designed to prevent violations… more
- TD Bank (New York, NY)
- …with monthly and ad hoc Compliance reporting. + Support the development of US policies and procedures for Core Compliance functions and liaise with the ... more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core ...laws and regulations and relate those laws to operational procedures , company policies , and industry trends +… more
- SMBC (New York, NY)
- …and process burden. + Assist in the design, implementation and maintenance of Compliance policies and procedures to ensure consistency in achieving ... of the below-listed Compliance Program areas: + Policies and Procedures Management + Compliance...+ M&T findings or recommendations; and/or + Observations by Compliance officer or business staff member +… more
- NYU Rory Meyers College of Nursing (New York, NY)
- Position Summary The Chief Global Compliance Officer ("CGCO") is responsible to the Senior Vice President, General Counsel for developing, executing, and ... compliance with evolving laws and regulatory requirements in addition to University policies and procedures . The CGCO should proactively enhance standards and… more
- Volunteers of America Upstate New York (Rochester, NY)
- …sessions and other meetings as requested. 3. Maintain client and staff confidentiality in compliance with Administrative Policies and Procedures and Program ... a compliance calendar for staff credentials and clearances. 14. Serve as Corporate Compliance Officer . Prepare annual report to CEO and Board of Directors of… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR-MORTGAGE ORIGINATION* WHAT IS...quality of records. * Comply fully with all Bank Compliance policies and procedures as ... THE OPPORTUNITY? The Compliance Officer Senior - Mortgage is responsible for managing and...mitigate compliance risk. Maintaining regulatory change management, policies and procedures , training, and advisory matters… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR-INVESTMENT ADVISORY* *WHAT IS...quality of records. * Comply fully with all Bank Compliance policies and procedures as ... THE OPPORTUNITY?* The Senior Compliance Officer will act in a ...mitigate compliance risk. Maintaining regulatory change management, policies and procedures , training, and advisory matters.… more
- City National Bank (New York, NY)
- …laws and regulations and development of implementation strategies. * Maintain updates to compliance policies , procedures , and training for new or revised ... * COMPLIANCE OFFICER -CREDIT CARDS* WHAT IS THE...accounts, as required. * Complies fully with all Bank Compliance policies and procedures as...* Complies fully with all Bank Compliance policies and procedures as well as all… more
- KeyBank (Albany, NY)
- **Location:** 4910 Tiedeman Road, Brooklyn Ohio **JOB BRIEF** The Compliance Officer will be a member of the Consumer Deposit Compliance team within ... Compliance Risk Management. The Compliance Officer will provide subject matter expertise...mitigated according to Key's Risk & Control Self-Assessment (RCSA) Procedures and applicable policies . As subject matter… more
- New York State Civil Service (Albany, NY)
- …located in Albany, New York, invites applications for the position of Senior Compliance Officer , Civil Rights. Key responsibilities include managing civil rights ... Title The State University of New York - Senior Compliance and Investigations Officer Occupational Category Legal...and state laws and regulations, as well as institutional policies and procedures .Job Duties and Responsibilities:The State… more