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The Chief BSA/AML Officer will be responsible for leading the Company's Anti-Money Laundering (AML) and Bank Secrecy Act (BSA) compliance program. This role will report to the Chief Compliance Officer and will be responsible for the successful execution and continued development of the program.
The Chief BSA/AML Officer will be responsible for leading the Company’s Anti-Money Laundering (AML) and Bank Secrecy Act (BSA) compliance program. Build and manage teams responsible for developing and maintaining overall BSA/AML program, including policies and procedures, and requirements to ensu...
The TP ICAP Group is a world leading provider of market infrastructure.Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions.Through our people and tec...
This team focuses on several key compliance risk types, including consumer compliance, investment banking related compliance, conduct, regulatory compliance, reputation, strategic, and technology risk. SMBC Group is seeking a ComplianceTransformationOfficer for the Compliance Department Americas ...
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, Underwrit...
The Company is seeking a Compliance Testing Officer to join its Independent Compliance Risk Management (ICRM) testing team. Vice President, Compliance Testing Officer. The successful candidate will be responsible for assessing compliance risks and controls within the first and second lines of def...
This includes conducting regular compliance risk assessments, monitoring regulatory changes, and providing guidance to business units on compliance matters. The Company is seeking a Chief Compliance Officer (CCO) to join their team and play a pivotal role in fostering a culture of compliance. The...
Serves as a compliance testing officer for Independent Compliance Risk Management (ICRM)'s Independent Assessment team responsible for assessing significant compliance risks and controls implemented by the first and second line of defense. Participating in the planning, executing, and reporting o...
Provide day-to-day Compliance advisory services to the firm’s Global Equity Research business, which includes Equity Research products and services, with specific focus on research independence, conflicts of interest, material non-public information and reputational risk. Independently manage pro...
The Compliance and Privacy Officer, reporting to the Chief Human Resources Officer, will have primary responsibility for the compliance and privacy programs at God's Love We Deliver. The Compliance and Privacy Officer will review, revise and maintain the organization's compliance and privacy poli...
We are seeking a highly skilled and experienced Investment Banking Compliance and Supervision Officer to join our team. Identify and assess potential compliance risks, implementing strategies to mitigate these risks effectively. Develop and enforce compliance policies and procedures, ensuring the...
Our fast-paced Compliance team is looking for a Compliance Monitoring Officer with experience in performing compliance and risk quality assurance monitoring procedures in the payments and/or finance industry. Compliance Monitoring Officer (Audit, QA, Risk Assessment, Testing). Collaborate with th...
Fortress seeks an experienced Compliance Officer to join the Fortress Legal and Compliance Department and will report directly to the firm’s Chief Compliance Officer. The successful candidate will work with members of the Legal and Compliance Department and other departments and businesses around...
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...
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 delivery of a ris...
This role will act as Homesteaders Life Company’s AML officer and the head of the SIU, as well as the Chief Privacy Officer. As Chief Compliance Officer and Assistant General Counsel you will analyze the manner in which applicable laws and regulations will be incorporated into Homesteaders Life C...
JOB SUMMARY Responsible for soliciting, negotiating, underwriting and coordinating the closing of mortgage loans in compliance with the Bank's lending policies and procedures; Develops business ...
Chief Medical Officer SUPERVISES: Providers PURPOSE: Direct patient care, provide clinical ... Ensure compliance with all grant specific reporting and requirements. - May initiate and ...
Research Compliance Officer Location: New York, NY Firm Overview: Cantor Fitzgerald L.P., with over 12,000 employees, has been a leading global financial services firm at the forefront of financial ...
Compliance Officer Location : New York City (Hybrid) Overview : A boutique investment management firm is seeking a Compliance Officer to join their team in NYC. This role offers the unique ...
A global bank located in Midtown Manhattan looking to bring on board a "Director - Fixed Income Compliance Officer" to join their team. This role is currently in a hybrid schedule (2 days in office
We are seeking a highly skilled and experienced Investment Banking Compliance and Supervision Officer to join our team. This role requires 3-5 years of experience in investment banking, with a focus ...
Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements. * Review and issue regulatory guidance to Bank staff on proposed ...
