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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.
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Role Description The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of the compliance program for an investment advisory firm in Manhattan, which is currently registered with New York State and will register with the U.S. Securities and Exchange Commission (SEC) in the near future.
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Have a working knowledge of and be able to support all GRC capabilities such as cyber risk management, third-party risk management, security training and communications, and our compliance program.
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Provide subject matter expertise and work with CRA team to conduct compliance risk assessments of various U.S. entities, particularly SMBC's broker-dealer and swap dealer businesses. This role will include conducting compliance risk assessments of certain U.S. legal entities in the role of subject matter expert ("SME") as well as managing other SMEs outside of the CRA team in their conduct of compliance risk assessments for the legal entities they cover (primarily non-U.S. entities.
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Assist with the design and implementation of a comprehensive Compliance Risk Assessment (CRA) framework for the SMBC Group Americas Division identifying the inherent risk of applicable laws/regulations/rules and assessing the efficacy of internal controls to derive residual risk profile.
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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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Data Security and Encryption : Knowledge of data protection techniques such as encryption, data masking, tokenization, and data loss prevention (DLP) Compliance and Governance : Understanding of regulatory compliance requirements and best practices for ensuring Cloud environments meet industry standards and regulatory mandates.
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Design, develop and implement system-wide e-learning solutions in support of NYC Health + Hospitals' learning and development strategies and maintain regulatory compliance with the creation and provision of system-wide mandated in-service modules.
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Conduct audits and assess import compliance on every file where CBP services are provided. Ensure such knowledge is factored into the departmental processes and employees are trained in import compliance and regulatory requirements and changes.
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Oversee matters pertaining to immigration compliance including the tracking, maintaining, and reporting of student and exchange visitor records within the Student Exchange and Visitor Information System (SEVIS.
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Work with CCO in assessing, overseeing, and improving the risk management and compliance practices for retail crypto trading and custody. Understanding of the current and evolving landscape of regulatory compliance and risk management for global financial technology and crypto companies.
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7 + years of experience in legal, BSA/AML, FINCEN, compliance, audit, regulatory or other risk management related fields. Ensure that the first line of defense operates in compliance with all applicable regulatory requirements with strong focus on BSA/AML regulations.
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Participates in the development and implementation of the behavioral health sections of the Quality Management (QM)/Utilization Management (UM) Plan. Oversees the administration of all BH QM/UM and performance improvement activities, encompassing grievances and appeals, and contributes to various other subcommittees such as Compliance and Pharmacy.
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The Chief Risk Officer for Finance (Finance CRO) organization provides risk management oversight of the Global Finance function, including effective risk challenge and mitigation of risk for capital, liquidity, interest rate risk and Treasury investments, and ensures compliance with all risk-related regulatory requirements.
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Responsible for overseeing tax planning and compliance functions for ultra-high net worth individuals and their families, with a particular emphasis on clients in the financial services sector, such as hedge funds, private equity, and other investment-related individuals.
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compliance job Title: principal Company: Amazon in New York, NY
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