• Senior Compliance Officer

    TD Bank (New York, NY)
    …provide you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS ... US Compliance Monitoring ...businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of… more
    TD Bank (04/24/25)
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  • Senior Compliance Officer

    TD Bank (New York, NY)
    …can provide you more specific details for this role. **Job Description:** The Senior Compliance Office provides advice, guidance and support to business units ... compliance initiatives to help manage regulatory risk. Compliance Monitoring and Testing + Assist with...assessments **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
    TD Bank (03/21/25)
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  • Senior Lead Compliance

    Wells Fargo (New York, NY)
    **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to join the CIB Fixed Income Business Aligned Compliance Team. This role ... Trading Compliance Team is a Business Aligned Compliance Officer (BACO) who will serve as...role is responsible for establishing policy requirements, training, and monitoring activities, as well and providing advice and credible… more
    Wells Fargo (04/26/25)
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  • SVP, Prime Brokerage Product Compliance

    Citigroup (New York, NY)
    Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) focused on the **Prime Brokerage ... a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance more
    Citigroup (03/26/25)
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  • Senior Compliance Officer

    TD Bank (New York, NY)
    …along with the ability to handle multiple assignments at the same time. The Senior Compliance Office provides advice, guidance and support to business units in ... work and statuses to a variety of audiences (including senior management), coordination with other Compliance workstreams...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
    TD Bank (03/19/25)
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  • Senior Compliance Officer

    BMO Financial Group (New York, NY)
    …training needs and helps develop training based on gaps identified through the compliance monitoring and testing. + Identify enhancements to business group ... assist in the implementation, maintenance and administration of the Fixed Income compliance program. Coordinate and performs risk assessment, monitoring , testing… more
    BMO Financial Group (05/15/25)
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  • Group Senior Credit Officer (GSCO)…

    Wells Fargo (New York, NY)
    **About this role:** Wells Fargo is seeking a Group Senior Credit Officer (GSCO) - Credit Risk and Approval Executive for the Banking Group within Corporate & ... Banking business and will report to the Chief Risk Officer for CIB, as well as the Chief Credit...and business policies. The GSCO-Banking will oversee reporting and monitoring of the Banking credit portfolio including monitoring more
    Wells Fargo (05/15/25)
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  • Senior Risk Officer

    Arena Investors LP (New York, NY)
    In this role, you will be directly reporting to the Chief Risk Officer , who is responsible for overseeing and managing the organization's risk management framework. ... This position requires close collaboration with the Chief Risk Officer , where you will provide vital insights and contribute to strategic decision-making processes… more
    Arena Investors LP (04/29/25)
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  • Senior Regulatory Officer , Director

    SMBC (New York, NY)
    …of benefits to its employees. **Role Description** The Director, Sr. Regulatory Officer works with the Regulatory Relations team to implement and execute SMBC's ... before submission + Provide strategic guidance and regular updates to senior management regarding significant matters being handled, including but not limited… more
    SMBC (04/08/25)
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  • SVP, Compliance Product Sr Officer

    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 ... a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance more
    Citigroup (05/02/25)
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