The Advisory Compliance team serves as a regulatory advisory function and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as the New Product, Underwriting...
The ideal candidate should demonstrate proven ability to collaborate with multiple stakeholders across Markets, Independent Risk, Compliance, Finance, Operations & Technology. In addition, the requirements of this Policy must be included in the relevant MCA, to the extent required by, and in accorda...
This role will oversee the design and development of a risk and compliance platform product and infrastructure to support the global risk and compliance programs and strategic direction of Circle. You will achieve this by establishing a risk and compliance platform product vision, gaining consensus ...
Appropriately assess risk when business decisions are made, demonstrating consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding perso...
Practical work experience involving compliance testing/monitoring, compliance audits, compliance training, control testing, and data analytics at banks and financial institutions of various types and sizes. As a Banking Compliance Risk Senior Manager, you will get the opportunity to grow and contrib...
Strong knowledge and application in three or more of the following areas: Regulatory Compliance and Technology, Risk Assessments, Financial Crimes, Anti-Money Laundering (AML), Fraud or Financial and Operational Audit, Risk Infrastructure, Cyber Security, Data Governance, Compliance Gap Analysis, In...
Serve as the Audit Liaison for Compliance cover a number of topics including but not limited to: conducting monthly Compliance/IAD touch points; participating in all Compliance related Audit Reviews to ensure Compliance is meeting IAD expectations and timelines and provide consistent messaging to ma...
Managing Director, Global Head of Tax Accounting, Compliance, and Reporting. We are seeking a highly experienced and dynamic individual to join our team as the Managing Director, Global Head of Tax Accounting, Compliance, and Reporting. Manage the timely and accurate preparation, review, and filing ...
The role will provide Compliance support for the Swap Dealer and Volcker Rule Compliance Programs in the Americas. Working with Americas Compliance Testing and Internal Audit of the Americas to ensure compliance testing is appropriate based on the level of risk;. Working with Americas Compliance Tes...
RSM seeks an experienced regulatory compliance professional to join RSM as a Risk Consulting (RC) Director and a leader in our Regulatory Compliance practice focused within the financial services industry. Experience desired in managing a regulatory compliance practice focused on large, complex clie...
Top-Tier Investment Management Company in Midtown, Manhattan is seeking a Director of Broker-Dealer Compliance!. Develop, maintain and implement compliance program for broker-dealer which serves as the distributor of registered funds and private/non-listed investment products. Support Chief Complian...
We are seeking a Senior Director – Associate General Counsel of Compliance to join our team. Reporting directly to the Chief Compliance Officer, you will collaborate with the CCO and other senior leadership to design and implement a successful global compliance program across many business uni...
Top-Tier Investment Management Firm in Midtown, Manhattan is seeking a Director of Compliance, with a focus on Marketing Review!. Reviewing, monitoring and implementing the compliance programs of registered advisers, registered funds, a limited purpose broker-dealer and private/non-listed investment...
Circle is looking for a Sanctionspliance Director that will oversee the development and management of Circle's Sanctionspliance Program. ...
This position supports the Ankura Risk, Forensics & Compliance practice - one of six practices focused on client delivery services across the Firm. Working both independently and with team members as the project lead to successfully execute projects involving international trade and technology ...
The Director, Global Sanctions & Financial Crimes Compliance Program Advisor will report to and work directly with the Head of Global Financial Crimes Compliance Program Office within S&P Global Enterprise Risk & Compliance. Develop Global Financial Crimes Compliance Program governance reports on a ...
The Associate Director - Broker Dealer Compliance will:. Work closely on compliance matters with client personnel. Deliver annual compliance meetings. Serve as registered Chief Compliance Officer for the firm's broker-dealer (BD) clients in limited circumstances. ...
Director, Model Validation for SHUSA Compliance models (Transaction Monitoring, Sanctions Screening, Fraud Risk, etc) will be responsible for leading the independent validation of models used by various Compliance groups in conformance with regulatory guidance on model risk SR- and other regulatory ...
The Director, Employee Relations & Compliance ensures consistent, practical, and compliant outcomes for all people management issues and ensures that the HR team is aware of all the current legal and regulatory requirements. Based in New York, this position serves as an expert advisor on complex and...
The Director-Compliance will establish, develop and support ongoing activities related to the development, implementation, and adherence to the Company’s privacy and compliance programs in North America. This includes compliance with state and federal privacy regulations and the Company’s internal p...
Compliance Quality Assurance Director, AIG Programs Division. We are seeking a highly motivated, results-oriented problem solver who exemplifies a willingness to be flexible, learn on the job, and gain multi-faceted experience with a full scope of Commercial Lines P&C products as well as multi-f...
Enhance reporting to the Compliance Committee on the status of regulatory compliance, including the details of any identified compliance issues and the corrective action taken. Reporting into the Enterprise Chief Compliance Officer, this role will manage a team of Compliance Officers supporting all ...
As a member of the Compliance Audit team, the candidate will focus on developing and leading the strategic approach for all aspects of compliance and/or financial crimes compliance across the bank. A Director on the Compliance Audit team will be responsible for designing and executing a risk-based ...
Specifically, the Office for Diversity and Compliance is responsible for administering the CUNY and Campus Policies on Non-Discrimination, Sexual Misconduct Prevention, Workplace Violence Prevention, Reasonable and Religious Accommodations, and implementing the requirements of federal, state and cit...
The focus of the role will be on execution of control room-related tasks, advisory to the various businesses, focusing on the private side, reporting, monitoring Compliance and business controls, and the execution of Compliance controls. It is part of the Global CMG function within the Investment &a...