- JPMorgan Chase (New York, NY)
- …package. + Provide a cohesive and comprehensive approach to review ratings, risk assessment , portfolios, clients and sub-sectors. + Lead senior management ... Bring your expertise to JPMorganChase. As part of Risk Management and Compliance , you are at the center of keeping JPMorganChase strong and resilient. You help… more
- KeyBank (NY)
- …regulatory compliance perspective. **ESSENTIAL JOB FUNCTIONS** + Manage the AML/OFAC Risk Assessment Team and personnel. + Advise the business regarding ... the enterprise AML/OFAC Risk Assessments and the Risk and Control Self- Assessment (RCSA). Work with...regulations, as applicable. + Collaborate with the Chief AML Officer , Financial Crimes Risk Management Directors, and… more
- CIBC (New York, NY)
- …CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Swap Dealer Compliance Officer is responsible for performing important advisory, ... Swap Dealer Compliance program. The Swap Dealer Compliance Officer is primarily responsible for 1)...assessments of US regulatory requirement group topics to determine risk ratings under CIBC's Regulatory Compliance Management… more
- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk officer covering North American Cash Equities Sales and Trading businesses. The role is ... Compliance , programs, policies and practices for Independent Compliance Risk Management (ICRM). Translates ICRM strategy...Referral and Escalation, Risk Controls and Monitors, Risk Identification and Assessment , Risk … more
- Scotiabank (New York, NY)
- Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary Range:** 180,000.00 - 301,500.00 _Please note that the Salary Range shown is a guideline ... . **What You'll Do** + Acting as a senior compliance officer and Compliance team...under NIRA/NIA policies. Provide a written description supporting the Compliance assessment of NIAs in line with… more
- American Express (New York, NY)
- …monitoring the overall effectiveness of the business compliance program via Compliance Risk Assessment , Issue Management Framework, Complaint monitoring, ... when necessary. + Support an effective Compliance program including Compliance Risk Assessment (CRA), Regulatory Change Management (RCM), and contribute… more
- KeyBank (Amherst, NY)
- …Road, Brooklyn Ohio **About the Job** As part of Key's second line of defense Compliance Risk Management function, the Risk Evaluation and Assurance Program ... on risk -based monitoring and evaluation activities, including risk assessment , monitoring and testing, analysis of...or gaps. + Review policies and procedures and associated compliance and risk programs to ensure consistency… more
- BMO Financial Group (New York, NY)
- …of the Fixed Income compliance program. Coordinate and performs risk assessment , monitoring, testing and surveillance activities to ensure program ... recommendations that significantly impact the Bank's ability to monitor regulatory compliance programs, minimize operational risk and align with regulatory… more
- Citigroup (New York, NY)
- …product/market conditions, as well as the appropriate credit structure based on various risk considerations. The CLM Credit Officer is responsible for approving ... will based in New York, NY. The CLM Credit Officer facilitates the end-to-end lending process for a covered...Regulation, Product Knowledge, Risk Controls and Monitors, Risk Identification and Assessment . **Other Relevant Skills**… more
- US Courts (Brooklyn, NY)
- …Officers investigate employment, sources of income, lifestyle, and associates to assess risk and compliance . They address substance abuse, mental health, ... domestic violence, and similar problems and implement the necessary treatment through assessment , monitoring, and counseling. They assess risk levels of persons… more