Are you a business? Hire chief compliance officer candidates in New York, NY
We are seeking an organized Administrative Assistant to provide support to the New York office of the Ratings Compliance & Risk department, reporting to the Global Chief Matrix Officer, including support for the members of the Compliance & Risk senior management team, and the Designated Complianc...
Compliance Advisor Senior Manager. The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. The Compliance Advisor Senior Manager will work independently from the CBD Chief Compliance Officer to interact with and advise the CBD LOBs on t...
Join one of the largest foreign banking entities globally to help establish and maintain riskframeworks across the organization. Client DetailsClient is a one of the largest international foreign banks in the world. DescriptionResponsibilitiesInclude but are not limited to:Implement BSA/AML/OFAC/...
At Fiera Capital Increase your chances of an interview by reading the following overview of this role before making an application. We invest in creating a culture of purpose that makes our people feel valued, cared for, seen, and heard. Our approach to employee experience is tailored to your n...
Join one of the largest international banks as they look to scale and improve their compliance technology systems, data, and organization.Client DetailsClient is one of the largest international banking firms globally.DescriptionExecute Compliance working plans according to the Bank's compliance ...
West Creek 4 (12074), United States of America, Richmond, Virginia Manager, Business & Technology Process Management (ES Risk) At Capital One, we're building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One i...
NYC Aging seeks a highly motivated Senior manager with broad-based experience in compliance, internal and external audit, financial reporting and programmatic fiscal processes to serve as Chief Compliance Officer. Reporting to the Chief Financial Officer, with additional accountability to the Fir...
The Company is seeking a Chief Credit Officer (CCO) to play a pivotal role in the oversight and strategic development of its credit and related activities. This includes a focus on the performance of credit products, compliance with consumer protection regulations, and the expansion of bespoke cr...
Managing Director, Chief Conduct & Control Officer. The role also involves managing a team, engaging with global and regional stakeholders, and leading initiatives to maintain a strong compliance culture. Candidates for the GMA CCCO position at the company should have a strong understanding of th...
Interim Chief Financial Officer (CFO). The Company is seeking a dynamic and innovative individual for a Remote Contract CFO role. The CFO will also be involved in maintaining knowledge of policies, conducting or coordinating audits, and ensuring compliance with financial regulations.
The Company is seeking a Chief Research Compliance Officer (CRCO) to establish and lead the compliance framework for its research activities. The successful candidate will work to optimize research operations, improve compliance, and support infrastructure enhancements, and must be proactive in s...
CDP is seeking a highly experienced and strategic Chief Legal Officer to lead our legal team and provide expert guidance on a wide range of legal matters. Reporting to the CFO, the Chief Legal Officer will play a pivotal role in ensuring CDP's compliance with relevant laws and regulations, managi...
The Company is seeking a Chief Information Security Officer (CISO) to lead the development, implementation, and maintenance of a comprehensive cybersecurity, application security, and risk management strategy. The CISO will be responsible for all aspects of information security, including complia...
This includes providing expert compliance support for mutual funds, conducting independent testing of fund service providers, and ensuring compliance with a range of securities laws and regulations. Responsibilities also include monitoring and interpreting regulatory developments, supporting comp...
The Company is in search of a Chief Compliance Officer (CCO) to spearhead its global compliance program. The successful candidate will be tasked with advising senior management on a wide range of risk and compliance issues, fostering a culture of ethical and lawful behavior, and leading a team of...
The Chief Counsel and Chief Compliance Officer will serve as the trusted adviser to Marsh McLennan Agency (MMA) Asset Management, MMA Securities, and Marsh McLennan Company (MMC) Securities, and generally serve as an expert in FINRA broker-dealer rules and SEC RIA matters. This position will dire...
This position is located in the Field Operations Finance Division in the Office of Programme Planning, Finance and Budget (OPPFB) in the Department of Management Strategy, Policy and Compliance (DMSPC). The Finance and Budget Officer reports to Section Chief. Within delegated authority, the Finan...
Having previously served in the role(s) of Chief Compliance Officer (CCO), Director of Compliance or Compliance Officer, you have specific, hands-on experience developing, implementing, and managing a full compliance program for a leading hedge fund or family office. As a Compliance Consultant, y...
As Chief Compliance Officer, you will lead and manage the broker-dealer compliance team, oversee the development and implementation of compliance programs, monitor regulatory changes and provide guidance to cross-functional teams in a fast-paced environment. Oversee the broker-dealer compliance p...
Support the Chief Compliance Officer in all aspects of the firm's compliance program, including:. Provide compliance guidance regarding compliance with IEX policies and procedures, IEX rules, and applicable federal securities laws and rules. You will report directly to our Chief Compliance Office...
We are looking for a Director of Risk Management to assist the Chief Risk Officer in managing and expanding the enterprise-wide risk management program and to provide subject matter expertise on various types of risks (security, regulatory, operational, and financial) and compliance matters. A
Copper is looking for a skilled and collaborative Americas BSA & Chief Compliance Officer to join our growing digital assets infrastructure business, the role holder will also act as the Deputy to the Group Chief Compliance Officer. Act in the roles of lead Americas Money Laundering Reporting Off...
Oversee the broker-dealer compliance program functions including implementation of written supervisory procedures, transaction monitoring, AML compliance, training and annual testing. Self-Clearing Broker Dealer seeks experienced Chief Compliance Officer with a minimum of 5 years of experience wo...
Under direction of the Chief HR Officer of Human Resources, the Deputy Director Operations will be responsible to supervise, support, direct and coordinate all HR functional areas. HR Day to Day Operations, Records Management, Compliance, OnBase, Employee Complaints,. Assist the Chief HR Officer ...
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