This team focuses on several key compliance risk types, including consumer compliance, investment banking related compliance, conduct, regulatory compliance, reputation, strategic, and technology risk. Managing compliance-driven initiatives and/or processes which require close partnership with compl...
Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for reviewing transactions and identifying potential conflicts of interest. Partnering with other ICRM teams and global functions, including Legal, Risk, Operations and ...
The Risk Management & Compliance CFO organization acts as strategic partners and trusted advisors to the Risk and Compliance organization. As part of RM&C CFO, the RM&C Finance & Business Management team supports the firm's Chief Risk Officer, RM&C Chief Financial Officer and the...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Testing 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 compliance risks; performing in...
The Compliance COO is, among other things, responsible for Regulatory Identification and Change Management (RICM) Program; Compliance Risk Assessment; Compliance Risk and Control Self-Assessment (RCSA) of Compliance-owned process operational risks; Compliance Issue Management; Compliance Monitoring;...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. Partici...
The compliance officer will be responsible for primary coverage of the Global Equities Derivatives Trading business. For all responsibilities the individual will liaise with management in Equities division and functional leaders in compliance, legal, risk, and IT to provide effective challenge, guid...
Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for reviewing transactions and identifying potential conflicts of interest. Partnering with other ICRM teams and global functions, including Legal, Risk, Operations and ...
City Wide Facility Solutions is actively seeking a Contract Compliance Officer - Night Shift for our Franchise location in Northern New Jersey (Westwood, NJ). The Contract Compliance Office - Night Shift is responsible for the quality control of general business operations, increasing client satisfa...
Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for reviewing transactions and identifying potential conflicts of interest. Partnering with other ICRM teams and global functions, including Legal, Risk, Operations and ...
As a Compliance Officer, you will be responsible for ensuring that the company and its employees comply with internal policies and external regulations. You will conduct audits, assess risk, and implement compliance programs to mitigate legal and regulatory risks. Develop and implement compliance po...
The Risk Management & Compliance CFO organization acts as strategic partners and trusted advisors to the Risk and Compliance organization. As part of RM&C CFO, the RM&C Finance & Business Management team supports the firm's Chief Risk Officer, RM&C Chief Financial Officer and the Risk Operating Comm...
The CCO will manage examinations and communications with regulatory entities, handle regulatory filings, manage customer complaints, and perform ongoing compliance surveillance functions. Build out the current administration of companywide compliance program. Collaborate with 7 internal reps and CEO...
The CCO will manage examinations and communications with regulatory entities, handle regulatory filings, manage customer complaints, and perform ongoing compliance surveillance functions. Initially, you will work closely with the CEO to develop the role and compliance structure within the company. B...
City Wide Facility Solutions is actively seeking a Contract Compliance Officer - Night Shift for our Franchise location in Northern New Jersey (Westwood, NJ). The Contract Compliance Office - Night Shift is responsible for the quality control of general business operations, increasing client satisfa...
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. Assisting with the identification of Significant Complianc...
The CCO will manage examinations and communications with regulatory entities, handle regulatory filings, manage customer complaints, and perform ongoing compliance surveillance functions. Initially, you will work closely with the CEO to develop the role and compliance structure within the company. B...
Contract Compliance Officer - Night Shift. Contract Compliance Office - Night Shift. Ensure compliance with client policies & procedures, approved cleaning tools and equipment and their proper use. ...
Fidelity Compliance, a 600-person organization, is accountable for business unit compliance strategy and oversight in addition to providing enterprise services and policies regarding Ethics, Digital Compliance practices, Anti-Money Laundering. As the leader of the Compliance team for Fidelity Digita...
The Compliance Officer is an integral part of the Firm’s Compliance team. Will report to and work closely with the company's Chief Compliance Officer as to issues, problems, and sales practice. Compliance experience with a Broker-Dealer or an Investment Adviser / Broker-Dealer, Compliance Consulting...
The CCO will manage examinations and communications with regulatory entities, handle regulatory filings, manage customer complaints, and perform ongoing compliance surveillance functions. Initially, you will work closely with the CEO to develop the role and compliance structure within the company. B...
Global bank located in Jersey City looking to bring on board a “Employee Compliance Officer – VP” to join their team. Play a lead role with implementing employee compliance policies, in conformance with written procedures. Timely escalate high-risk requests for a second review, including any evidenc...
As a Compliance Officer, you will be responsible for ensuring that the company and its employees comply with internal policies and external regulations. You will conduct audits, assess risk, and implement compliance programs to mitigate legal and regulatory risks. Develop and implement compliance po...
The CCO will manage examinations and communications with regulatory entities, handle regulatory filings, manage customer complaints, and perform ongoing compliance surveillance functions. Initially, you will work closely with the CEO to develop the role and compliance structure within the company. B...
Fun Chief Compliance Officer - HYBRID. This position will act in the capacity of Chief Compliance Officer for certain investment company clients. Primary responsibility will be to ensure fund and service providers' compliance with Rule 38a-1 of the Investment Company Act of 1940. Oversee maintenance...