- 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
- 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
- SMBC (New York, NY)
- …Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the ... 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… 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 ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...Lead will report to the Head of Employee Compliance with responsibility for oversight of the firm's outside… 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 ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...of Registrations will report to the Head of Employee Compliance with responsibility to lead the Registrations… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a ** Lead Compliance Officer ** in Corporate Risk as part ** Trade Surveillance Oversight** Team. This role will ... line oversight + Develop, oversee, and provide expert business and regulatory compliance functional knowledge. + Develop and present Oversight program materials to… more
- TD Bank (New York, NY)
- … Compliance team is looking for an Associate candidate (Senior Compliance Officer ) to join the new Trade Surveillance team. Preferred 3-5 years of ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $135,000 USD TD is...experience in trade surveillance of Fixed Income Products, with relevant knowledge… more
- Deloitte (New York, NY)
- …the following SAP GTS Modules: + Compliance Management + Customs Management + Trade Preference + Technical or functional lead on at least 1 full-lifecycle ... foreign multinational companies on global import and export strategies, compliance , and trade automation. Our team focuses...of the above certifications + CUSICO (Certified US Import Compliance Officer ) + Professional Accreditation in EU… more
- TD Bank (New York, NY)
- …TD Securities Compliance team is seeking a Director-level candidate to lead the Surveillance Data Quality Team. This is a global role, the incumbent ... Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to deliver a… more
- Deloitte (New York, NY)
- …+ Foreign equivalent of the above certifications + CUSICO (Certified US Import Compliance Officer ) + Professional Accreditation in EU Customs Law (post masters) ... US and foreign multinational companies on global import and export strategies, compliance , and trade automation. Our team focuses on advising, implementing… more
