- KeyBank (NY)
- …line of defense Compliance Risk Management function, the Complaint's Management Compliance Officer is responsible for helping to execute a robust ... As a member of the Fair and Responsible Banking ("FARB") team (within Compliance Risk Management ["CRM"], the incumbent will provide second line of defense… 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 ... to fiscal oversight or of agency-wide significance, the Chief Compliance Officer duties and responsibilities will include...and government authorities, as it pertains to Audit and Risk Management . - Coordinate NYC Aging leadership… more
- Raymond James Financial, Inc. (New York, NY)
- …leaders, providing compliance guidance to support decision-making and operational risk management . + Maintain expertise in securities underwriting, private ... a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the...senior business units. + Strategic planning, risk management , and regulatory analysis. + Compliance investigations… more
- Marex (New York, NY)
- …For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide ... review + Manage US Broker Dealer Business Line management relationships. Collaborate to ensure Americas Compliance ...risk events immediately. + To provide input to risk management processes, as required. The Company… more
- Bloomberg (New York, NY)
- Senior Compliance Officer - Data Privacy -... Compliance Location New York Business Area Legal, Compliance , and Risk Ref # 10043072 **Description ... privacy laws as well as expertise in managing privacy risk and compliance ; * Ability to work...business people on data privacy matters; * Strong stakeholder management experience and skills to collaborate effectively with security… more
- Scotiabank (New York, NY)
- …to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the ... Director, Treasury Management Officer - FinTech and Payment...business controls to meet obligations with respect to operational risk , regulatory compliance risk , AML/ATF… more
- Bloomberg (New York, NY)
- Compliance - Compliance Officer -...Experience of identifying and managing risk , including risk framework and issue management **If this sounds ... Indices/ Benchmark Administration Location New York Business Area Legal, Compliance , and Risk Ref # 10044966 **Description & Requirements** Bloomberg's Legal and… 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...procedures, tools and training that promote knowledge and strict compliance with regulatory requirements and reduce risk … more
- BMO Financial Group (New York, NY)
- …plans and validation. + Elevate high profile issues/ risk cases to Compliance and business/group management for prompt resolution. + Analyze and report ... ensuring adequate management remediation plans and validation. Elevate high profile issues/ risk cases to Compliance and business/group management for… more
- TD Bank (New York, NY)
- …units in adhering to regulatory/ compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk . ** Compliance ... key stakeholders, and exercise credible challenge. + Support issue management , and support a culture of compliance ...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… more