- 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 (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
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to perform as the Senior Lead Business Line Compliance Officer for ... team lead directing the day-to-day activities of one Lead Compliance Officer **In this role, you will:**...compliance issue management, new product/business review, complaint handling, compliance monitoring and reporting, compliance … more
- 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
- 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
- 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
- Center for Disability Services (Albany, NY)
- …with disabilities. Position Overview: The Compliance and HIPAA Privacy Officer is responsible for overseeing and monitoring the adoption, implementation, ... Compliance and HIPAA Privacy Officer Administration...+ Compiles data and information for review by executives, senior management and relevant board and other committees, and… more
- 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
- Volunteers of America Upstate New York (Rochester, NY)
- …Date 05/09/2025 Description Position Title: Compliance and Quality Assurance Officer Reports to: Senior Vice President of Agency Advancement Exempt/Non-Exempt ... the agency operates within legal and ethical boundaries by monitoring adherence to all applicable laws, regulations, and internal...for staff credentials and clearances. 14. Serve as Corporate Compliance Officer . Prepare annual report to CEO… more
- 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