A company is looking for a Chief Compliance Officer to ensure adherence to laws, regulations, and industry standards while promoting a culture of integrity. ...
Corporate Banking Compliance Officer, AVP page is loaded Corporate Banking Compliance Officer, AVP Apply locations New York, NY time type Full time posted on Posted 30+ Days Ago job requisition id 10064248-WD. Partner with Relationship Managers/Product Groups to enable more enriched discussions on r...
A company is looking for a Compliance Officer to develop and manage the AML/CFT program. ...
Key Responsibilities:General· Secretary (schedule & take the minutes) of the Committees managed by CACIB US Complianceo US Compliance Management Committeeo US Complex Transaction Committeeo US New Activity Product Committeeo US Disciplinary Committeeo Americas Data Protect...
Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk manag...
Junior Compliance Officer/KYC Analyst. The KYC Analyst will use independent judgment to provide KYC assessments and escalate as appropriate to senior compliance officers;. The Compliance Department is seeking a KYC Analyst to conduct KYC and manage various administrative duties in a dynamic, entrepr...
Family and Medical Leave Act ; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision ....
The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of the compliance program for an investment advisory firm in Manhattan, which is currently registered with New York State and will register with the U. The CCO will foster a cultur...
Serve as the Chief Compliance Officer and Anti-Money Laundering Officer of the Broker-Dealer, reporting to the Chief Administrative Officer of Public Holdings. Maintain the Written Supervisory Procedures and Compliance Manual (WSP). Oversee the creation of desk / internal control procedures for Comp...
Compliance Officer – Trade Compliance and Generalist (New York, NY). This new hire will be reporting to the Chief Compliance Officer and be the go to compliance resource in the New York Office. Our client a Hedge Fund with over $2B in AUM is seeking a Compliance professional to join their growing le...
Broker dealer located in Midtown Manhattan looking to bring on board a “Executive Compliance Officer” to join their team. Provide Compliance Advisory services to business lines. Collaborate to ensure Americas Compliance Calendar deadlines are achieved. Provide Compliance Advisory services for Trade ...
The Compliance Officer will be responsible for developing, implementing, and overseeing the compliance programs for our real estate and property management operations. Compliance Officer - Real Estate. ...
Develop, implement, maintain, and administer the Bank’s Compliance Management System, which includes but is not limited to developing and executing applicable risk assessments, scheduling and reporting on compliance testing, as well as drafting and updating compliance policies and procedures. Retail...
The Investigation and Compliance Unit, to which this position belongs, updates and provides guidance to agency EEO Officers on investigative and reasonable accommodation processes, develops and presents legally mandated non-discrimination training curricula, conducts very time-sensitive high level d...
Communicate with sales and trading management and US Compliance personnel on relevant compliance issues, the regulatory environment, and Compliance Department initiatives by actively participating in relevant business forums and internal meetings. Coordinate with Internal Control on compliance risk ...
The Chief Compliance Officer & Head of Regulatory will lead CLEARs Compliance & Regulatory teams within Legal while working with teams across the company to build products & programs consistent with global laws & regulations. Oversee an effective compliance program per DOJ & SEC guidance, including,...
The Marketing Compliance Officer will review and approve all communications to the public including, but not limited to, marketing materials, monthly reports, factsheets, request for proposals, due diligence questionnaires, website content and electronic communications. Work closely with the Complia...
Working with Compliance Officers and the Risk & Internal Controls team globally, the Data & Technology Covering Compliance Officer will be a direct liaison and a point of escalation contact for S&P Global Ratings data and technology activities from a Compliance, Risk & Internal Controls perspective....
Communicate with sales and trading management and US Compliance personnel on relevant compliance issues, the regulatory environment, and Compliance Department initiatives by actively participating in relevant business forums and internal meetings. Coordinate with Internal Control on compliance risk ...
Job Title: Global IB Compliance Officer. This position is for a Vice-President role, globally managing the IB, ECM and DCM (Global IB) Compliance function. Advising Global IB on core compliance issues. Seeking a highly motivated individual who is willing to actively participate as part of the Jeffer...
Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law. Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-complia...
Provide advisory services to staff and management and to the Regional Coveringpliance Managers (RCCM) and, at times, the Chiefpliance Officer (North America) on significantpliance matters and issues;. ...
This position provides technical and professional compliance expertise and advice to leadership, regional support teams, employees, committees and affiliates regarding current and emerging federal, state and local and internal healthcare compliance-related issues consistent with the system-wide Comp...
Identifies issues to be pursued based on large, unusual or questionable items that produce a significant tax or compliance effect and utilizes the tax law and facts needed to resolve them. ...
Regulatory Inventory Compliance Officer - Associate. Regulatory Inventory Compliance Officer - Associate. The Compliance department acts as Second Line of Defense of the corporate banking, investment banking and broker–dealer activities across Societe Generale’s operations, reporting on the complian...