- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** The Senior Compliance Office provides advice, guidance and support to business units ... compliance initiatives to help manage regulatory risk. Compliance Monitoring and Testing + Assist with...assessments **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to perform as the Senior Lead Business Line Compliance Officer for ... team lead directing the day-to-day activities of one Lead Compliance Officer **In this role, you will:**...compliance issue management, new product/business review, complaint handling, compliance monitoring and reporting, compliance … more
- Scotiabank (Houston, TX)
- Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary Range:** 99,790.00 - 190,995.00 _Please note that the Salary Range ... together to drive ambition for every future! **Purpose** The Compliance Officer will operate as a member...Compliance Advisory team is responsible for providing day-to-day compliance oversight, advice, training and monitoring for… more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS ... Compliance and covers the TDS US businesses. This Senior Compliance Officer will also...process and track issues to closure. + Assist the Compliance Testing Team, as needed, on monitoring … more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR * WHAT IS THE OPPORTUNITY? The Senior Consumer Compliance Officer is responsible for managing and maintaining assigned ... areas of the compliance program covering consumer including monitoring business area compliance with applicable laws and regulations, ensuring controls are… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR -REGISTERED INVESTMENT ADVISOR* WHAT IS THE OPPORTUNITY? The Senior Compliance Officer will act in a compliance ... responsible for managing and maintaining assigned areas of the compliance program including monitoring business area compliance with applicable laws, rules,… more
- Wells Fargo (New York, NY)
- **About this role:** **Wells Fargo is seeking a Senior Lead Compliance Officer in Corporate and Investment Banking (CIB) Compliance to support the ... Compliance Program on the Cross Asset Team. The Senior Lead Compliance Officer will...making sound risk decisions. There is emphasis on proactive monitoring , governance, risk identification and escalation, as well as… more
- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) focused on the **Prime Brokerage ... a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance … more
- Bloomberg (New York, NY)
- … Compliance .** **What's the Role?** **We are seeking a Compliance Officer with deep E-Comms Surveillance & Monitoring experience. You will be responsible ... to you to make it happen.** **Bloomberg's Legal & Compliance Department plays a critical role in supporting our...program.** **Our Team** **As an Electronic Communications (E-Comms) Surveillance Officer , you'll be a critical member of the Employee… more
- TD Bank (New York, NY)
- …along with the ability to handle multiple assignments at the same time. The Senior Compliance Office provides advice, guidance and support to business units in ... work and statuses to a variety of audiences (including senior management), coordination with other Compliance workstreams...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more