- Citigroup (New York, NY)
- The Enterprise Data Office (EDO) Regulatory Management senior officer will be part of Citi's Technology & Business Enablement Regulatory Management team and ... report to the Enterprise Data Office Regulatory Management Lead . Citi's Enterprise...correct as needed. **Education:** + Bachelor's degree; experience in compliance , legal or other control-related function in the financial… more
- Raymond James Financial, Inc. (New York, NY)
- **Job Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and ... Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business...+ Identify process improvements to enhance operational efficiency and regulatory adherence. + Lead and mentor a… 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
- Bloomberg (New York, NY)
- Compliance - Compliance Officer ...well as IOSCO principles; and be able to implement regulatory compliance policies, governance and controls. Strong ... the product and business + Draft, update and review compliance policies in line with regulatory requirements...conduct rule breach determinations + Work alongside the global lead and compliance team to increase the… 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 ... and Compliance Program in order to ensure compliance with evolving laws and regulatory requirements...with applicable laws, regulations, and policies. The CGCO will lead the implementation of a comprehensive compliance … 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 responsible ... of policies, resolution of potential red flags or other client/transaction-related compliance escalations. + Representing Citi on critical regulatory matters… more
- TD Bank (New York, NY)
- …provides advice, guidance and support to business units in adhering to regulatory / compliance requirements and assists in implementing compliance initiatives ... to help manage regulatory risk. ** Compliance Monitoring & Compliance Oversight** + Assist...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… more
- Bloomberg (New York, NY)
- Senior Compliance Officer - Data Privacy -...at times lead the team, on specific regulatory Compliance projects /initiatives for privacy, for ... Legal & Compliance Location New York Business Area Legal, Compliance , and Risk Ref # 10043072 **Description & Requirements** The energy of a newsroom, the pace… more
- KeyBank (NY)
- …organization in strategic investments and acquisitions from an AML and OFAC regulatory compliance perspective. **ESSENTIAL JOB FUNCTIONS** + Manage the AML/OFAC ... committees, working groups, task forces and line of business partnerships to identify and manage compliance risks with assigned regulatory topics. Support the… more
- Citigroup (New York, NY)
- …portfolio and represent their covered accounts in numerous highly visible forums. A Credit Officer can advise or lead strategic projects for US or Global CLM ... will based in New York, NY. The CLM Credit Officer facilitates the end-to-end lending process for a covered...process is conducted in accordance with all internal and regulatory frameworks, and is responsive to relevant inquiries. The… more