- Amalgamated Bank (New York, NY)
- Amalgamated Bank is seeking a Testing Compliance Officer to assist the Compliance Officers to ensure the Bank's loan, deposit products and services ... relative to lending, deposit, and loan servicing regulations. 3. Collaborate with Chief Compliance Officer in executing the Bank's Compliance Management… more
- TD Bank (New York, NY)
- …global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance ... for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of... + Assist with developing and executing the annual Compliance Testing and Monitoring plan + Determine… more
- TD Bank (New York, NY)
- … Monitoring and Testing + Assist with developing and executing the annual Compliance Testing plan + Determine scope of reviews; build detailed review steps; ... globally + Assist in identifying areas for enhanced Monitoring, Testing or training Core Compliance + Develop...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… more
- TD Bank (New York, NY)
- …global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance ... more specific details for this role. **Job Description:** This Compliance Officer is a key member of...Testing + Develop and design annual and cycle-based Compliance Testing and Monitoring plans + Execute… more
- Scotiabank (New York, NY)
- Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary Range:** 180,000.00 - 301,500.00 _Please note that the Salary Range shown is a guideline ... . **What You'll Do** + Acting as a senior compliance officer and Compliance team... compliance -related issues identified in internal audits and Compliance Testing reviews. + Playing a key… more
- Citigroup (New York, NY)
- …on internal policies and procedures. This role is in support of the Chief Compliance Officer (CCO) of the Futures Commission Merchant and covers the FDC ... Serves as a senior function/business/product compliance risk officer for Independent ...inquiries and internal and external investigations, as well as testing and audit. + Designing and lead compliance… more
- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is recruiting for a Surveillance Compliance officer to join their team in New York. The role ... opportunity to gain exposure to a wider range of compliance activities at a market-leading firm. Marex has unique....Participate in ongoing improvement of the Surveillance function + Testing of trade data and OMS/EMS systems to ensure… more
- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide ... services for broker-dealer Regulatory Reporting process. + Carry out assigned compliance testing . + Coordinate and provide Compliance Advisory support to… more
- SMBC (New York, NY)
- …to its employees. **Role Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of ... rules, regulations, and procedures. + Develop and execute monitoring and testing of business activities, including the annual compliance program review,… more
- Citigroup (New York, NY)
- Serves as a function/business/product compliance risk officer as a **Senior VP for Equities Independent Compliance Risk Management (ICRM)** responsible for ... inquiries and internal and external investigations, as well as testing and audit. + Designing and lead compliance... testing and audit. + Designing and lead compliance and control reviews. + Partnering with other ICRM… more
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