• Director, Specialized Finance Business Control…

    SMBC (New York, NY)
    …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
    SMBC (09/03/25)
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  • Credit Officer - Financial Institutions…

    SMBC (New York, NY)
    …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
    SMBC (07/24/25)
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  • First Line Client Liaison / KYC Officer…

    MUFG (New York, NY)
    …Relationship Managers/Product Groups to enable more enriched discussions on risk/AML/Sanctions compliance issues, while managing the progress of KYCs from an end ... while fulfilling responsibilities related to Request for Information (RFIs) related to KYC/risk/ compliance issues identified as part of the KYC due diligence; +… more
    MUFG (09/07/25)
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  • Operational Risk Officer Vice President

    Citigroup (Tampa, FL)
    …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... Qualifications: * 6-10 years exeperience in management, risk management and/or regulatory compliance in one or more of the following risk disciplines: technology… more
    Citigroup (08/30/25)
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  • Investment Assoc Intmd Analyst Officer

    Citigroup (New York, NY)
    …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... to work without direction, self-motivated + US: S7, S66 (or S63/S65) NOTE: Securities Industry Exam (SIE is a prerequisite to the S7) **Education:** +… more
    Citigroup (09/05/25)
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  • Protective Security Officer

    Chenega Corporation (Washington, DC)
    …a high security facility providing physical security for the protection of BEP securities , its personnel and visitors. PSOs will work closely with BEP employees in ... + Clear background check, including DOJ Security Risk Assessment and NACI. _In compliance with federal law, all persons hired will be required to verify identity… more
    Chenega Corporation (08/23/25)
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  • Chief Risk Officer - Private Client Group…

    Raymond James Financial, Inc. (New York, NY)
    …essential risk context. . Reports risk-related data including risk exposure, compliance to risk policies, and effectiveness of current risk management strategies ... provide advice on such documentation negotiation from the credit perspective . Securities /Private Client and Asset Management products and an understanding of the… more
    Raymond James Financial, Inc. (07/31/25)
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  • Associate, Broker-Dealer Private Side…

    SMBC (New York, NY)
    …of the broker dealer's compliance risk and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... portfolio of benefits to its employees. **Role Description** The Compliance group within SMBC Nikko Securities Inc....Description** The Compliance group within SMBC Nikko Securities Inc. serves as a regulatory advisory function to… more
    SMBC (07/15/25)
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  • Deputy Compliance Leader - Financial…

    GE Vernova (New York, NY)
    …will report to the Enterprise Development, Growth & Excellence ("EDGE") Chief Compliance Officer in New York, NY. **Job Description** **Essential ... risk profile of the Company to the EDGE Chief Compliance Officer and commercial resources. + Risk...management. + Broker-Dealer Compliance : Coordinate and execute compliance obligations for regulated securities transactions arranged… more
    GE Vernova (09/06/25)
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  • Compliance Director, Privacy

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance . + Rules and regulations of: ... **Essential Duties and Responsibilities** + Support the Chief Privacy Officer (CPO) to define and achieve the strategic vision for the corporate Privacy Program. +… more
    Raymond James Financial, Inc. (08/02/25)
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