- 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 ... Compliance 's good governance depends on us. The Senior Compliance Office provides advice, guidance and...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- Bank of America (New York, NY)
- …Communications + Active Listening + Issue Management + Liquidity Management + Monitoring , Surveillance, and Testing + Regulatory Compliance **Shift:** 1st shift ... Enterprise Financial Risk Capital Markets Risk Sr . Specialist Charlotte, North Carolina;New York, New York...the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief Financial Officer… more
- Huntington National Bank (New York, NY)
- …and credit quality of assigned portfolio working directly with the Segment Risk Manager, Sr and Segment Risk Officer . + Underwrites complex and large credit ... Credit Portfolio Risk Analyst Summary: The Credit Portfolio Risk Analyst, Senior (BIN Sponsorship) services, deepens, and retains assigned profitable customer… more
- JPMorgan Chase (New York, NY)
- …outside the box, challenging the status quo and striving to be best-in-class. As a Compliance Risk Management Senior Officer within the JPM Wealth Management ... teams in promoting our global program and its responsibilities + Conduct ongoing compliance monitoring activities and participate in special projects as required… more
- Highmark Health (Albany, NY)
- …responsible for the administration, interpretation, and enforcement of the Compliance Program including auditing/ monitoring operational processes, conducting or ... This job is responsible for planning, designing, implementing, and maintaining the Compliance Program and its related policies to ensure the business acts within… 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 ... before submission + Provide strategic guidance and regular updates to senior management regarding significant matters being handled, including but not limited… more
- Bank of America (New York, NY)
- Senior Portfolio Management Officer -Commercial Real Estate Banking New York, New York **To proceed with your application, you must be at least 18 years of age.** ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/New-York/ Senior -Portfolio-Management- Officer -Commercial-Real-Estate-Banking\_25026660-2) **Job Description:** At Bank of America,… more
- Wells Fargo (Purchase, NY)
- …Managed Individual Retirement Accounts (IRA). **About this role:** Wells Fargo is seeking a Senior Special Needs Trust Officer as part of Wealth and Investment ... while developing the knowledge to understand function, policies, procedures, and compliance requirements + Engage clients, advisors, and internal partners to deliver… more
- CIBC (New York, NY)
- …CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Swap Dealer Compliance Officer is responsible for performing important advisory, ... Swap Dealer Compliance program. The Swap Dealer Compliance Officer is primarily responsible for 1)...sales and trading desk's daily business activities; and 6) monitoring sales and trading activities to ensure compliance… more
- Wells Fargo (New York, NY)
- …Controls and COO teams as well as other support functions (eg, Compliance , Testing, Audit, Risk, Operations, Technology, Legal, and Human Resources). Their goal ... sound supervisory framework in supervision coverage, and the program is in compliance with applicable rules, regulations, and industry best practices. **In this… more
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