- 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 ... of best-in-class Compliance , programs, policies and practices for Independent Compliance Risk Management (ICRM). Translates ICRM strategy and goals across… more
- Citigroup (Getzville, NY)
- Serves as a senior vice president of Compliance Data Risk Oversight lead for Independent Compliance Risk Management (ICRM) responsible for developing ... and implementing elements of the data compliance risk oversight program, including developing systems...within Citi, as necessary. + Acting as SME to senior stakeholders and /or other team members in relation… more
- Citigroup (Getzville, NY)
- Serves as a senior vice president of Compliance Data Risk Oversight lead for Independent Compliance Risk Management (ICRM) responsible for developing ... and implementing elements of the data compliance risk oversight program, including developing systems...within Citi, as necessary. + Acting as SME to senior stakeholders and /or other team members in relation… more
- Citigroup (Getzville, NY)
- …firm's progress toward the Data Transformation target state. **The Data Risk Officer - Structural Elements Oversight, Senior Vice President** role will serve ... Operational Risk Management (ORM) is an enterprise-level independent ...and procedures, including the design and performance of associated compliance metrics + Assess the adequacy of the firm's… more
- HUB International (New York, NY)
- …purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer , will be a highly visible, senior leadership position, reporting directly into ... the Global/Executive Chief Compliance and Risk Officer , working closely with RPW senior leadership to collectively support the growing RPW business while… more
- Citigroup (Getzville, NY)
- …outcomes to assess the firm's progress toward the Data Transformation target state. **The Data Risk Officer ** role will serve as a subject matter expert on data ... Operational Risk Management (ORM) is an enterprise-level independent ...the primary interface to key stakeholders such as regulators, senior management, and the Board, as it relates to… more
- TD Bank (New York, NY)
- …this role. **Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team. The ... Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and... Compliance 's good governance depends on us. The Senior Compliance Office provides advice, guidance and… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR -REGISTERED INVESTMENT ADVISOR* *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance ... and regulations, and ensuring effective controls are in place to mitigate compliance risk . Maintaining regulatory change management, policies and procedures,… more
- Wells Fargo (New York, NY)
- **About this role:** We are seeking a highly experienced Senior Lead Compliance Officer to support the Structured Products Group (SPG) across both Capital ... risk -based compliance programs and controls. + Provide regulatory compliance risk expertise and consulting for high- risk projects and initiatives. +… more
- KeyBank (Buffalo, NY)
- …Brooklyn, Ohio 44144 **About the Job** As part of Key's second line of defense Compliance Risk Management function, the Risk Evaluation and Assurance Program ... ongoing compliance with applicable laws and regulations through the execution of compliance and operational risk monitoring and testing across Key's lines of… more