- 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 ... to detail and ability to work independently. **General Job Posting:** The Compliance Officer supports consumer regulatory compliance functions for the… more
- Citigroup (New York, NY)
- …as a Data Analyst, Business Analyst, Compliance Analyst, Risk Manager, Regulatory Risk Officer , or related position involving financial data analysis and ... Citibank, NA seeks a Model/ Analysis/ Validation Senior Officer I for its New York, New York...engineering in support of regulatory compliance for a global financial institution.… more
- 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 Data Office ...correct as needed. **Education:** + Bachelor's degree; experience in compliance , legal or other control-related function in the financial… 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 ... shares feedback to management and relevant business units on regulatory expectations. + Oversee compliance and alignment...business units on regulatory expectations. + Oversee compliance and alignment of team member activities with all… more
- HUB International (New York, NY)
- …, and strategic business initiatives. + 10+ years' experience as a senior SEC regulatory compliance professional for either a large financial services firm + ... advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer , will be a...inquiries and requests; + Run point on ad hoc regulatory projects and other requirements as necessary. Compliance… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR* WHAT IS THE OPPORTUNITY? The Compliance Officer Senior - Mortgage is responsible for managing and maintaining assigned areas ... applicable laws and regulations, ensuring controls are in place to mitigate compliance risk. Maintaining regulatory change management, policies and procedures,… more
- Raymond James Financial, Inc. (New York, NY)
- …Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision ... of the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive strategic… 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
- 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...management and US Compliance personnel on relevant compliance issues, the regulatory environment, and … more
- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide ... within Marex and ensuring that all employees understand their responsibilities. Furthermore, Compliance is a bridge between Marex and regulatory authorities. … more