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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, Underwriting, Risk Management, Compliance, and Trainingcommittees.
$250,000 a yearExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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You will oversee the design and delivery of the NFA/CFTC controls program, portfolio of projects, incident management, and implementation of overall compliance framework for the FCM as it pertains to the Futures product.
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The Compliance Manager will work from the on-site management office in East New York, Brooklyn and will be responsible for overseeing the certification process, ensuring its timeliness, and verifying that all move-in files adhere to compliance standards set by City, State and Federal programs such as LIHTC, HPD, HDC, Mitchell Lama, and Section 8.
$90,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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We are seeking a highly experienced Chief Compliance Officer (CCO) to join a $10 billion Credit Hedge Fund. The ideal candidate will have a strong background in Investment Advisor (IA) compliance, with the ability to launch and build a comprehensive compliance program.
$400,000 a yearFull-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
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Familiarity with Governance, Risk, and Compliance (GRC) technologies such as RSA Archer or ServiceNow. The Governance, Risk, & Compliance (GRC) Compliance Assurance Senior Analyst will be responsible for performing a variety of tasks within controls, issues, and certifications management.
$196,000 a yearExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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The US Financial Crime department is responsible for ensuring the compliance with anti-money laundering (AML), Bank Secrecy Act, USA PATRIOT Act, OFAC and sanctions regulations for the US operations.
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Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), and/or Certified Financial Services Auditor (CFSA) designation a plus. For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM.
$156,880 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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The Compliance Risk Lead Examiner will have primary responsibility for examinations, continuous monitoring, and evaluation of the compliance risk management and control frameworks of Institutions in the LFBO portfolio with respect to AML controls, sanctions, and counter-terrorist financing (CTF.
$172,700 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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The Senior Director, Model Validation for Santander US Compliance models (Transaction Monitoring, Sanctions Screening, Fraud Risk, etc) will be responsible for leading the independent validation of models used by various Compliance groups in conformance with regulatory guidance on model risk SR11-07 and other regulatory requirements around Compliance models.
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We are looking for a Cloud Solution Architect (CSA) – Compliance , specializing in Data Security who is passionate about driving our customers’ security & AI transformation on the Microsoft Platform.
$219,200 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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You will work with the Global Trade Compliance Team, collaborate across the Bloomberg Engineering teams, Chief Technology Office, Chief Information Security Office, and other business groups, to provide regulatory oversight of software / technology development / implementation / deployment as it related to import / export compliance across the various Bloomberg businesses.
$210,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Familiarity with Supply Chain Risk Management, Governance, Risk & Compliance, and Third-Party Risk Management. In recognition of the growing volume and complexity of data and regulation, Exiger is committed to creating a more sustainable risk and compliance environment through its holistic and innovative approach to problem solving.
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The Manager of Call Center Quality and Compliance is responsible for the day-to-day management of the Quality Assurance and compliance team. Manage the day-to-day operations of the Quality Assurance and Compliance team.
$85,000Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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The Vice President, Compliance Officer is responsible for acting in an advisory capacity to the Advanced Clearing and Prime Services (ACaPS) Division and Fixed Income, Commodities, Currencies and Stock Lending Division (FICCS) as well as the Operations Department.
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Design, develop, deliver, and maintain best-in-class AML Compliance policies and practices; provide a mechanism for identifying key money laundering risks and how the mitigation of those risks would be monitored and measured through a robust control framework.
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