- University of Rochester (Rochester, NY)
- …Laser Energetics (LLE) is seeking a highly skilled and experienced Lead Contracting Compliance Officer . This individual will ensure LLE's full adherence to ... DFARS, and the application of ethical business practices. The Lead Contracting Compliance Officer will be responsible for developing, implementing, and… more
- HSBC (New York, NY)
- **Description** **Litigation, Regulatory Enforcement and Investigations (LREI), HSBC Technology & Services (USA) Inc., New York, NY:** Provide strategic support to ... budget for the global team. Prepare for Quarterly Business Reviews with Chief Legal Officer . Partner with lawyers and law firms to ensure all external legal spend is… more
- City of New York (New York, NY)
- …policy implementation. The Compliance Specialist will report to the Deputy Chief People Officer of Compliance , Payroll & Labor Relations and will be part of ... Chief People Officer and Deputy Chief People Officer of Compliance , Labor Relations, and Payroll...forms. - Stay informed about all employee-related legislative and regulatory changes, ensuring that updates to rules and regulations… more
- Citigroup (New York, NY)
- Serves as a function/business/product compliance risk officer as a **Senior Vice President for Equities Independent Compliance Risk Management (ICRM)** ... cross-border impact. + Advising ICRM and function/business/product management and personnel on regulatory and compliance issues and provide credible challenge. +… more
- Heritage Financial Credit Union (Middletown, NY)
- …a difference in the lives of our members and our community. POSITION PURPOSE Regulatory Compliance is responsible for developing and maintaining a Compliance ... a financial institution, auditing firm, or consulting firm with regulatory compliance focus + Bank operations experience...of the BSA and cooperate with the designated BSA Officer in assuring compliance . ESSENTIAL FUNCTIONS AND… more
- TD Bank (New York, NY)
- …your recruiter who can provide you more specific details for this role. **Job Description:** This Compliance Officer is a key member of the TDS US Compliance ... working with regional testing teams across the globe. This Compliance Officer will also support other aspects...to mid- range planning (eg 6-12 months) + Manages regulatory reviews including inquiries, audits, and exams **Education &… more
- SMBC (New York, NY)
- …of the broker dealer's compliance risk and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... for SMBC Nikko Securities Inc. **Role Objectives** + Assists in providing regulatory and compliance advice, identifying training needs, preparing and providing… more
- Stony Brook University (Stony Brook, NY)
- …research goals, objectives, and initiatives. + The DCRCP assists the SBM Chief Compliance Officer as required. + Performs other duties as assigned. ... as a resource, providing guidance to SBM leadership and staff on requirements and regulatory topics pertaining to research and academic compliance . + The DCRCP… more
- TD Bank (New York, NY)
- …specific details for this role. **Job Description:** We are seeking an experienced Conflicts Officer to join our Compliance Control Room at TD Securities. This ... and compliance stakeholders on complex conflict scenarios. + Monitor regulatory developments and industry best practices to ensure the firm's conflict management… more
- FlexStaff (Chappaqua, NY)
- …and communicate findings effectively to practitioners and teams. Responsibilities: - Support the Compliance Officer and the overall Compliance Program - ... regulatory updates, and best practices to ensure ongoing compliance - Serve as a backup to the ...compliance - Serve as a backup to the Compliance Officer in their absence *Additional Salary… more