- SMBC (New York, NY)
- …findings or recommendations; + M&T findings or recommendations; and/or + Observations by Compliance officer or business staff member + Coordinate with relevant ... the Regulatory Governance team is responsible for production of Annual Compliance Reports and related senior officer certifications. **Responsibilities:** +… more
- HSBC (New York, NY)
- …Global Equities franchise with a focus on the Equity Derivatives (EQD) business segment (EQD Compliance Officer ). + The EQD Compliance Officer will be ... policies and procedures, training, conflicts, and supervision. + The EQD Compliance Officer is responsible for making commercial decisions while… more
- HSBC (New York, NY)
- Private Banking Chief Operating Officer , US Brand: HSBC Area of Interest: Private Banking Location: New York, NY, US, 10001 Work style: Hybrid Worker Date: 16 Dec ... 2025 In compliance with applicable laws, HSBC is committed to employing...all share. The Private Banking (PB) US, Chief Operating Officer (COO) will be responsible for a complex strategic… more
- SMBC (New York, NY)
- …of benefits to its employees. **Role Description** SMBC is seeking a Credit Officer to cover Commercial Real Estate. + Review and challenge of credit applications ... Credit Department. + Provide feedback and guidance, as necessary, to ensure compliance with internal policies and procedures standards. + Monitor and supervise… more
- Neuberger Berman (New York, NY)
- **Position Overview:** The Private Wealth Business Enablement Officer will play a key role in the Private Wealth business' technology budget, prioritization, ... acts as the connective tissue across Private Wealth, Technology, Operations, Compliance , Finance, and client-facing teams to source and validate requirements, size… more
- HSBC (New York, NY)
- …New York, NY, US, 10001 Work style: Hybrid Worker Date: 12 Dec 2025 In compliance with applicable laws, HSBC is committed to employing only those who are authorized ... The position primarily supports US IWPB CEO (Chief Executive Officer ) and their OpCo and Global PB (Private Bank)...of stress testing and product transfer pricing + Ensure compliance , operational risk controls in accordance with HSBC or… more
- SMBC (New York, NY)
- …offers a competitive portfolio of benefits to its employees. **Role Description** The Officer of Accounting, Treasury, Tax will join at the Analyst level and handle ... similar application systems). + Knowledge of USGAAP, financial regulations, and compliance standards. + Experience with making journal entries and accounting basics… more
- SMBC (New York, NY)
- …to its employees. **Role Description** This position supports the Chief Credit Risk Officer as well as Co-Head(s) of CDAD as a business management and coordination ... trackers, and organizational diagnostics to support strategic initiatives. + Monitor compliance with policies and procedures related to problematic assets, including… more
- SMBC (Jersey City, NJ)
- …The role will work closely with the SMBC Nikko Securities America, Inc., Chief Compliance Officer , SMBC Americas Division Head of Ethics Office, business unit ... of Registrations will report to the Head of Employee Compliance with responsibility to lead the Registrations Program across...supervisors, subject matter experts and compliance officers, Legal, Human Resources, Technology, and vendors. **Role… more
- SMBC (Jersey City, NJ)
- …The role will work closely with the SMBC Nikko Securities America, Inc., Chief Compliance Officer , SMBC Americas Division Head of Ethics Office, business unit ... Contributions Lead will report to the Head of Employee Compliance with responsibility for oversight of the firm's outside...supervisors, compliance officers, Legal and Human Resources. **Role Objectives** +… more
