- Ventura County (Ventura, CA)
- …research on economic trends, interest rate changes, and fixed-income markets. + Regulatory Compliance & Policy Adherence - Supporting adherence to investment ... Investment Officer / Senior Investment Officer Print...ensure best execution and favorable pricing on investments. + Regulatory Compliance & Governance - Ensuring investment… more
- Marex (New York, NY)
- …services. For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will ... agency bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements,… more
- 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 policies, resolution of potential red flags or other client/transaction-related compliance escalations. + Representing Citi on critical regulatory matters… more
- Citigroup (Jersey City, NJ)
- Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing compliance ... Counterparty Trading and Risk business. + Knowledge and extensive regulatory compliance and/or experience with auditing principles...to influence and lead people across cultures at a senior level + Experience in managing regulatory … more
- Citigroup (Getzville, NY)
- Serves as a senior compliance risk officer ...to influence and lead people across cultures at a senior level + Experience in managing regulatory ... framework. **Responsibilities:** + Designing, developing, delivering and maintaining best-in-class Compliance , programs, policies and practices for ICRM. + Translating… more
- L3Harris (Rochester, NY)
- …in the interest of national security. Job Title: Senior Specialist, Legal Compliance (Ethics & Compliance Officer ) Job Location: Multiple: Rochester, New ... seeking an experienced, proactive and solutions focused Ethics & Compliance Officer (ECO) who will be responsible...procedures, tools and training that promote knowledge and strict compliance with regulatory requirements and reduce risk… more
- KeyBank (Atlanta, GA)
- …may be filled at different salary grade levels depending on requirements.** ** Senior Service Officer Job Description:** **JOB BRIEF (PURPOSE)** Responsible for ... service directly for bank clients while maintaining risk management, compliance with bank policies and regulatory requirements,...on job-related factors such as level of experience. The Senior Service Officer position is eligible to… 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 and reporting...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 and reporting...within Citi, as necessary. + Acting as SME to senior stakeholders and /or other team members in relation… more
- TD Bank (New York, NY)
- …your recruiter who can provide you more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS US ... Excel, Word, PowerPoint and SharePoint. **General Job Description:** The Senior Compliance Officer provides advice,...guidance and support to business units in adhering to regulatory / compliance requirements and assists in implementing … more