- 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...management. + Broker-Dealer Compliance : Coordinate and execute compliance obligations for regulated securities transactions arranged… more
- KeyBank (NY)
- …equivalent experience + Prior experience in financial institution (i. e., bank and securities industry), compliance , Risk Management, or audit related activity + ... is taken to address regulatory expectations and to ensure Key maintains compliance with financial crimes regulatory requirements. Support the AML Enterprise Team… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $135,000 USD TD is committed to providing fair ... details for this role. **Job Description:** The TDS US Compliance team is looking for Associate candidates to join...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… more
- Bank of America (New York, NY)
- …capital, liquidity and interest rate risks, including price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the ... Rate Risk framework, the management of Interest Rate Risk through the ALM securities portfolio, and any Price Risk created through hedging activities performed by… more
- Neuberger Berman (New York, NY)
- …the "Trust Companies") are seeking a skilled and experienced Trust Investment Oversight Officer to join our team. The Trust Companies support the Private Wealth ... Personal Trusts, Collective Investment Trusts (CITs), and Outsourced Chief Investment Officer (OCIO) clients, such as endowments, foundations, and pension funds. The… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** TD Securities Compliance team is seeking a Director-level candidate to lead the ... Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to deliver a… more
- S&P Global (New York, NY)
- …Corporate Ratings and collaborate with other Analytical Managers, the Chief Analytical Officer , and the Methodologies Sector Head. Additionally, you will engage with ... analytics and optimal resource allocation. + Promote a positive compliance culture and lead by example within your team....innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks… more
- Warner Bros. Discovery (New York, NY)
- …of matters, including high-stakes commercial disputes, intellectual property, securities , employment, talent relations, and regulatory matters. Reporting to ... the Chief Legal Officer , this leader will partner closely with senior executives,...WB, including contract, copyright, tort, employment, ADA, patent, antitrust, securities , tax, real estate, consumer products, advertising, corporate, and… more
- MTA (New York, NY)
- …strategies as well as special projects as determined by the Chief Financial officer from time to time. Responsibilities: + Help guide and develop MTA's financial ... PAYGO cash funding of the capital programs to ensure compliance with US Tax Code. + Involves coordinating with...and rating agency communities. + Responsible for meeting US Securities and Exchange Commission (SEC) Rule 15c2-12 filing requirements… more
- Citigroup (New York, NY)
- …to clients based on client profiling and suitability assessments + Make securities recommendations and provide investment advice to clients through a select number ... appropriate (including, but not limited to Small Business Partners, Home Lending Officer , etc.) + Acquire new clients through converting referral leads + Manage… more