- 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 ... licensing/registrations, policies and procedures, training, conflicts, and supervision. The EQD Compliance Officer is responsible for making commercial decisions… more
- SMBC (New York, NY)
- …addition, the Regulatory Governance team is responsible for production of Annual Compliance Reports and related senior officer certifications. ... Program areas: + Policies and Procedures Management + Compliance Training + Issues Management + Monitoring ...reminders and other communications. + Support production of Annual Compliance Report and related senior officer… 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 ... responsible for routinely reporting credit risk related reports/documents, to senior management, head office, and regulators. **Role Responsibilities:** Credit… more
- 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)
- …your recruiter who can provide you more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS US ... Compliance Monitoring & Testing (M&T) Team, responsible...Excel, Word, PowerPoint and SharePoint. **General Job Description:** The Senior Compliance Officer provides advice,… more
- Bank of America (New York, NY)
- …Communications + Active Listening + Issue Management + Liquidity Management + Monitoring , Surveillance, and Testing + Regulatory Compliance **Shift:** 1st shift ... Enterprise Financial Risk Capital Markets Risk Sr . Specialist Charlotte, North Carolina, United States;New York,...the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief Financial Officer… more
- Capital One (New York, NY)
- Senior Business Manager, BA - Data Transformation, Office of the Chief Data Officer At Capital One, data and analytics are at the center of everything we do. It ... transform banking and financial services. We are seeking a Senior Manager to help drive our enterprise data transformation...to help drive our enterprise data transformation forward. The Sr . Manager will lead a team of approximately5 business… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR -INVESTMENT ADVISORY* *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance oversight ... responsible for managing and maintaining assigned areas of the compliance program including monitoring business area compliance with applicable laws, rules,… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR -MORTGAGE ORIGINATION* WHAT IS THE OPPORTUNITY? The Compliance Officer Senior - Mortgage is responsible for managing ... and maintaining assigned areas of the compliance program covering US Mortgage Banking including monitoring business area compliance with applicable laws and… more
- JPMorgan Chase (Jersey City, NJ)
- …year (1) of experience with the following: conducting control testing and monitoring ; working with COSO Internal Control Framework, compliance management, trend ... DESCRIPTION: Duties: Perform monitoring , testing and deep dive activities on data...metrics, risk appetite, tolerance and governance. Ensure that the compliance , conduct and operational risk framework is in place… more
