- US Bank (New York, NY)
- …at-all from Day One. **Job Description** This position within RSS will serve as the Chief Compliance Officer (CCO) for one of our multiple series trusts ... - Ten or more years of experience in a compliance or financial industry related role, preferably in a...a CCO role or securities related -Prior experience with compliance or operational aspects of ETFs - Strong knowledge… more
- Raymond James Financial, Inc. (New York, NY)
- **Job Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and ... Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate...+ Lead the development and implementation of a comprehensive compliance program for Capital Markets, encompassing Equity Investment… more
- Trexquant Investment (Stamford, CT)
- …and finance professionals pushes the boundaries of quantitative finance. We are seeking a Chief Compliance Officer (CCO) to join our senior leadership team, ... where technology, finance, and regulatory oversight converge. Responsibilities + Lead compliance oversight for our SEC-registered investment adviser for private… more
- NYU Rory Meyers College of Nursing (New York, NY)
- …a member of the Law School's senior leadership team, the Associate Dean & Chief Financial Officer (CFO) is responsible for leading a customer-focused support ... directs the planning and management of financial, budgetary, and investment activities for the School, serves as the Treasurer...against its peer institutions + Work closely with the Chief Information Officer and the Assistant Dean… more
- New York Genome Center (New York, NY)
- The Chief Financial Officer (CFO) is a critical position who serves as the New York Genome Center's financial leader, responsible for the organization's overall ... and facilities. Reporting directly to the Scientific Director and Chief Executive Officer (CEO), the CFO is...the assigned areas of responsibility. Hold responsibility for performing investment , debt, and treasury activities. + Lead a team… more
- JPMorgan Chase (New York, NY)
- …impact on our company, customers, and communities. **Job summary:** As a Managing Director, Chief Credit Officer in the Asset and Wealth Management Credit Risk ... and be at the forefront of risk management and compliance . As a key player in our team, you...200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking,… more
- 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 ... standard risk management practices . Broker-dealer supervisory frameworks, retail investment platforms, and UHNW product risks including structured products,… more
- TD Bank (New York, NY)
- …**Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team. The team supports ... framework. Specifically, the Data Quality Team works with TDS Chief Data Officer (CDO), Data and Delivery...Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office… more
- TD Bank (New York, NY)
- …guidance and analysis on regulatory/ compliance /technology issues. Position will support the Chief Compliance Officer (CCO) in ensuring the Bank's ... who can provide you more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance assists in… more
- Neuberger Berman (New York, NY)
- …accounts, including Personal Trusts, Collective Investment Trusts (CITs), and Outsourced Chief Investment Officer (OCIO) clients, such as endowments, ... dually to Sam Petrucci, Head of Advice, Planning & Fiduciary Services, and Shannon Saccocia, Chief Investment Officer - Wealth. The Trust Investment … more