- 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
- KeyBank (NY)
- …institution laws and regulations, as applicable. + Collaborate with the Chief AML Officer , Financial Crimes Risk Management Directors, and other stakeholders on ... Prior experience in financial institution (i. e., bank and securities industry), compliance , Risk Management, or audit related activity + Ability to multi-task +… more
- 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 in ... to detail and ability to work independently. **General Job Posting:** The Compliance Officer supports consumer regulatory compliance functions for… 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...compliance procedures. + Coordinate with Internal Control on compliance risk assessments, independently conduct the effective… more
- City of New York (New York, NY)
- …external audit, financial reporting and programmatic fiscal processes to serve as Chief Compliance Officer . The selected candidate for this position will use an ... to fiscal oversight or of agency-wide significance, the Chief Compliance Officer duties and responsibilities will include...and government authorities, as it pertains to Audit and Risk Management. - Coordinate NYC Aging leadership to formally… 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 ... policies and procedures for covered business areas. + Conduct compliance risk assessments to ensure effective business...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… 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
- Bloomberg (New York, NY)
- Senior Compliance Officer - Data Privacy -... Compliance Location New York Business Area Legal, Compliance , and Risk Ref # 10043072 **Description ... US state privacy laws as well as expertise in managing privacy risk and compliance ; * Ability to work independently and effectively manage and prioritize… 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 ... Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this. Salary Range: $225,000 to $300,000 per… more
- 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 ... Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this. Salary Range: $150,000 to $225,000 per… more