A company is looking for an Export Compliance Officer to support and drive export control compliance processes. ...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Compliance Independent Assessment (CIA) team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing risk assessments of Citi's...
A company is looking for a Compliance Officer. ...
Support the Compliance Division in formulating and performing a periodic review of key Compliance policies and controls to ensure that they remain robust and in line with regulatory standards and industry/peer best practices. These policies are in GIC’s Compliance Manual and Code of Ethics, includin...
A company is looking for a Chief Compliance Officer to ensure adherence to laws, regulations, and industry standards while promoting a culture of integrity. ...
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...
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,...
Management and Reporting:The Fixed Income Compliance officer reports directly to the US Head of Global Markets Regulatory Compliance Monitoring & Surveillance. Summary:The Fixed Income Compliance Officer is responsible for day-to-day monitoring and surveillance of the Global Markets Division (“G...
Reviews identified 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. ...
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...
Large broker dealer located in Midtown Manhattan or Los Angeles looking to add a “VP – Capital Markets Compliance Officer” to their team. Assist with the design and execution of regulatory compliance testing for Capital Markets business; test compliance with policies and standards and identify key r...
Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM)’s Delegated Controls Independent Assessment (CIA) team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing risk assess...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Compliance Independent Assessment (CIA) team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing risk assessments of Citi's...
Key Responsibilities:Manage end-to-end process of handling customer complaints and ensuring timely resolutionDevelop and implement policies and procedures for complaint management and complianceAnalyze complaint data to identify trends, root causes, and areas for improvement in customer experienceRe...
A company is looking for a Senior Compliance Associate - Quality Assurance. ...
A company is looking for a General Counsel to oversee legal, compliance, and regulatory matters. ...
A company is looking for an Associate, Member & Provider Compliance for their Insurance Operations team. ...
A company is looking for a Director of AML and Third Party Compliance. ...
Key Responsibilities:Identify, measure, and escalate compliance risk issuesAssist in oversight of regulator relationships and examinationsDevelop and maintain internal controls to mitigate riskRequired Qualifications:Bachelor's Degree in related field10 years' experience in compliance, legal, audit,...
A company is looking for a Senior Director, Security & Compliance. ...
A company is looking for a Director of Compliance. Key Responsibilities:Develop, implement, and maintain AML/BSA compliance programs and policiesManage escalated complaint resolution and issue managementStay updated on AML/BSA laws, regulations, and industry best practicesRequired Qualifications:Bac...
A company is looking for a Director of Governance Risk and Compliance. ...
A company is looking for a Vendor Compliance Senior Specialist in Retail Operations. ...
A company is looking for a Chief Operating Officer. ...
A company is looking for a Compliance Officer to develop and manage the AML/CFT program. ...