- 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)** ... + Analysing and scoping the impact of new and complex regulatory developments across senior function/business/product, including cross-border impact. +… more
- TD Bank (New York, NY)
- …for your business area/function and the bank, both internally and/or externally The Senior Compliance Office provides advice, guidance and support to business ... units in adhering to regulatory / compliance requirements and assists in implementing ...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate others +… more
- SMBC (New York, NY)
- …years in financial services or international law firm, with an emphasis on regulatory compliance . + Experience developing policies and procedures and strong ... Collaborate closely with SMEs to draft, refine, and finalize clear, comprehensive compliance policy documents adhering to regulatory expectations and internal… more
- HUB International (New York, NY)
- … compliance , and strategic business initiatives. + 10+ years' experience as a senior SEC regulatory compliance professional for either a large financial ... Compliance and Risk Officer, working closely with RPW senior leadership to collectively support the growing RPW business...inquiries and requests; + Run point on ad hoc regulatory projects and other requirements as necessary. Compliance… more
- TD Bank (New York, NY)
- …making + Develops and maintains constructive relationships between the commercial and operations Senior Management and the Senior Compliance Leaders to build ... securities and operations businesses/function and products + Strong management experience leading regulatory compliance activities + Regulatory , industry and… more
- Mizuho Corporate Bank (New York, NY)
- …across multiple partner applications and systems- Develop modernization roadmaps ensuring regulatory compliance continuity- Collaborate with Legal, Risk, ... You'll work at the intersection of technology, risk, and regulation-collaborating with senior leaders across Legal, Risk, Compliance , and IT to ensure… more
- Centene Corporation (New York, NY)
- …one who changes everything for our 28 million members. **Position Purpose:** Ensure regulatory compliance with state and other government agencies related to the ... regarding compliance issues and implementation of new compliance requirements with respect to regulatory and...plans, and report on achievement of action plans to senior management and Board of Directors + Develop strategic… more
- American Express (New York, NY)
- …Finance organization drives performance while upholding the Company's commitment to regulatory compliance and financial integrity through strategic collaboration ... compliance risk assessments and control self-assessments. + Support regulatory exam readiness, issue remediation, and corrective action planning. + Coordinate… more
- Guidehouse (New York, NY)
- **Job Family** **:** Risk & Regulatory Compliance Consulting **Travel Required** **:** Up to 50% **Clearance Required** **:** None **What You Will Do** **:** ... aggressive growth strategy for its Financial Crimes, Risk and Compliance (FCRC) practice, and now seeks to expand its...this growth strategy. This new hire will be a senior business builder with a high-profile personal network with… more
- Raymond James Financial, Inc. (New York, NY)
- …requirements, and mitigate regulatory risks. As a key member of the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer ... Capital Markets division. This role requires significant industry expertise, regulatory acumen, and leadership skills to manage compliance...+ Serve as an integral member of the RJF Compliance Senior Leadership Team, shaping compliance… more