- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance assists ... and ability to work independently. **General Job Posting:** The Compliance Officer supports consumer regulatory ...colleagues to help them and their families achieve their financial , physical and mental well-being goals. Total Rewards at… more
- JPMorgan Chase (New York, NY)
- … regulatory strategy or compliance roles. + Familiarity with global regulatory environments. + Experience in financial services or related industries. + ... Chase, we are dedicated to maintaining a strong and resilient organization. As a Regulatory Strategy Senior Officer , you will be instrumental in ensuring our… more
- SMBC (New York, NY)
- …a competitive portfolio of benefits to its employees. **Role Description** The Director, Sr. Regulatory Officer works with the Regulatory Relations team to ... regulators and promptly shares feedback to management and relevant business units on regulatory expectations. + Oversee compliance and alignment of team member… more
- Citigroup (New York, NY)
- …experience in compliance , legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a ... The Enterprise Data Office (EDO) Regulatory Management senior officer will be...degree + 10+ years of relevant work experience in financial services preferred. + Understanding of relevant banking regulation… more
- KeyBank (NY)
- …organization in strategic investments and acquisitions from an AML and OFAC regulatory compliance perspective. **ESSENTIAL JOB FUNCTIONS** + Manage the AML/OFAC ... and line of business partnerships to identify and manage compliance risks with assigned regulatory topics. Support...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)...requirement group topics to determine risk ratings under CIBC's Regulatory Compliance Management framework; + Assist in… more
- TD Bank (New York, NY)
- …**Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team. The team supports ... multiple sources (eg, order management systems, execution platforms, and market data feeds). + Regulatory Compliance & Risk Management: Help to ensure TDS meets … more
- Raymond James Financial, Inc. (New York, NY)
- …preferred. Minimum of fifteen (15) years of Compliance , Legal, Banking and/or regulatory experience in the financial services industry. + A minimum of ten ... a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the...+ SEC, FINRA, FRB Bank Holding Company, and state regulatory frameworks. + Financial markets, investment products,… more
- Bloomberg (New York, NY)
- Compliance - Compliance Officer - Indices/ Benchmark Administration Location New York Business Area Legal, Compliance , and Risk Ref # 10044966 ... well as IOSCO principles; and be able to implement regulatory compliance policies, governance and controls. Strong...+ Provide guidance on and implement controls relating to regulatory requirements and expectations for financial benchmarks… more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business units in ... adhering to regulatory / compliance requirements and assists in implementing ...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… more