Are you a business? Hire compliance officer candidates in West New York, NJ
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 ...
As a Compliance Risk Assessment ("CRA") Vice President, this role will assist in managing a comprehensive compliance risk assessment framework to ensure the applicable regulatory compliance risks and internal controls are identified and assessed to determine the risk profile for applicable laws/r...
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...
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 successful candidate will be responsible for tax planning and compliance, ensuring a deep understanding of income tax accounting standards for US and IFRS GAAP, and will have extensive experience with FATCA and information reporting. Vice President, Tax Compliance Officer. The Company is seek...
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 ...
The successful candidate will be responsible for assessing compliance risks and controls within the first and second lines of defense, performing risk assessments of compliance risks, and conducting independent testing activities to evaluate the design and effectiveness of key controls. The Compa...
This includes creating a culture of compliance through training, communication, and enforcement, and acting as a liaison for compliance-related issues. The successful candidate will also be tasked with integrating compliance into property management, overseeing the accuracy of external reporting,...
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 will review, revise and maintain the organization's compliance and privacy policies, protocols and processes; assist with compliance and privacy reviews, audits and investigations as needed. The Compliance and Privacy Officer, reporting to the Chief Human Resour...
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...
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...
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...
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. Collaborate with the compliance team on the further development of the compliance progra...
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...
Maintain a strong control environment and culture, with a key focus on regulatory compliance & relations. * Credit Approval: Review, approve or decline or recommend to appropriate higher authority ...
Manage annual audits of retirement plans and preparation of Forms 5500, 945 and other filings in collaboration with CFO, other HR specialists and Plan auditors * Ensure compliance with federal, state ...
Collaboration: Work cross-functionally with the legal, compliance, operations, accounting, and ... our CEO and CIO * Excitement of working at a dynamic and expanding firm Application Process
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 ...
Collaborate with senior legal and compliance officers to update and refine internal compliance policies and procedures related to fund allocations and investment processes. * Risk Assessment
