- 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 ... agency bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements,… more
- Bloomberg (New York, NY)
- Compliance - Compliance Officer ...well as IOSCO principles; and be able to implement regulatory compliance policies, governance and controls. Strong ... on the product and business + Draft, update and review compliance policies in line with regulatory requirements + Prepare reports for regulatory bodies and… more
- TD Bank (New York, NY)
- …you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS US ... working with regional testing teams across the globe. This Compliance Officer will also support other aspects...across the firm + Contribute, as needed, to annual compliance training requirements and regulatory change impact… more
- KeyBank (NY)
- …second line of defense Compliance Risk Management function, the Complaint's Management Compliance Officer is responsible for helping to execute a robust and ... and monitoring processes (including analytics), and applicable techniques for implementation of regulatory compliance requirements and compliance processes +… 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
- 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 ... enforcing the Global Ethics and Compliance Program in order to ensure compliance with evolving laws and regulatory requirements in addition to University… 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
- 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
- Bloomberg (New York, NY)
- Senior Compliance Officer - Data Privacy - Legal & Compliance Location New York Business Area Legal, Compliance , and Risk Ref # 10043072 **Description & ... * Support, and at times lead the team, on specific regulatory Compliance projects /initiatives for privacy, for example, the mapping of applicable… more
- City of New York (New York, NY)
- …regarding regulatory obligations and best practices related to M/WBE compliance . - Assist in executing agency reviews, audits, onsite monitoring and programmatic ... the people of New York City as an NYPD officer , state senator, and Brooklyn borough president. The Adams'...in New York State - Three years' experience in compliance , regulatory , or investigative capacity - Relevant… more