- CIBC (New York, NY)
- …of CIBC's Annual Swap Dealer and Security Based Swap Dealer Chief Compliance Officer Reports; + Drafting and maintaining key policies and procedures ... compliance program; + Drafting and maintaining key policies and procedures relating to new CFTC...policies , standards, guidelines and controls; + As a Compliance Officer , this job is accountable for… more
- 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 ... advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer , will be a...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
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR* WHAT IS THE OPPORTUNITY?...quality of records. * Comply fully with all Bank Compliance policies and procedures as well ... 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
- 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...Policy Development: Assess and drive practical improvements to E&C policies , procedures , tools and training that promote… more
- City of New York (New York, NY)
- …external audit, financial reporting and programmatic fiscal processes to serve as Chief Compliance Officer . The selected candidate for this position will use an ... matters related to fiscal oversight or of agency-wide significance, the Chief Compliance Officer duties and responsibilities will include but not be… more
- Raymond James Financial, Inc. (New York, NY)
- …trading risks across multiple asset classes. + Oversee the development and execution of compliance programs, policies , and procedures to align with evolving ... a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the...ensuring operational excellence. **Advanced Knowledge of:** + Securities industry compliance practices, concepts, and procedures . + SEC,… 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
- Citigroup (New York, NY)
- …to operational issues, transactional approvals and the application of internal compliance policies for day-to-day activities; + Directing and implementing ... Serves as a senior function/business/product compliance risk officer covering North American...check and challenge of the businesses, establishing internal strategies, policies , procedures , processes, and programs to prevent… more
- KeyBank (NY)
- …second line of defense Compliance Risk Management function, the Complaint's Management Compliance Officer is responsible for helping to execute a robust and ... effective compliance complaints program, collaborating across the three lines of...review and challenge of complaints, the new or revised policies procedures , processes, training program content, issues… more