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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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Relevant professional certifications, such as Certified Anti-Money Laundering Specialist (CAMS) or Certified Regulatory Compliance Manager (CRCM), are a plus. The successful candidate will report directly to the Chief Compliance Officer (CCO) and will be responsible for assisting in the development, implementation, and maintenance of our compliance program.
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And coordinating with other Chief Officers for credit risk and legal/compliance/BSA/AML risk. Ensure and responsible for an effective Enterprise Risk Management strategy, culture and framework that includes establishment of risk limits on an enterprise-wide basis and monitoring of compliance of such limits; the implementation of and ongoing compliance with policies and procedures; development and implementation of processes and systems; management or risks and risk controls within the risk-control framework; and monitoring and testing of the risk controls.
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Collaborate with stakeholders to develop, implement, and/or optimize the systems and processes associated with anti-money laundering (AML), sanctions, and know your customer (KYC) compliance, aligning with organizational goals and regulatory requirements.
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Job Description Title: Fun Chief Compliance Officer - HYBRIDLocation: Boston, CO; Coral Gables, FL; Dallas, TX; Denver, CO; Dublin, OH; Kansas City, MO; New York, NY; Union, NJ | HybridGet to Know The Team:This position will act in the capacity of Chief Compliance Officer for certain investment company clients.
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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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Develop expertise on the Capital One threat landscape using internal data, threat trends, and operational metrics to clearly communicate the Capital One threat landscape to senior executives, to include the Chief Information Security Officer and Chief Information Officer.
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Proactively build and maintain relationships with partner teams, including but not limited to Cyber Intelligence, Red Team, Insider Threat, and Hunt teams. At least 3 years of experience with Threat Intelligence Platforms (TIPs), Security Orchestration, Automation, Response (SOAR) or Security Information and Event Management (SIEM) tools.
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The Deputy Chief of Staff works in direct support of the School's mission to ensure access for the very best and brightest nontraditional students to a Columbia undergraduate education, including the School's work in Diversity, Equity, and Inclusion and ensures that the Dean's priorities in this area are deeply ingrained across the full breadth of the School's current activities and newest initiatives.
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Key responsibilities of the job include evaluating test structure to determine automation viability, accessing pertinent databases to source testing data, and collaborating with Compliance and Operational Risk officers and/or Front Line Unit (FLU) process owners to design sampling and test procedures that support the test objective and ensure the repeatability and reliability of the testing.
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Work with CCO in assessing, overseeing, and improving the risk management and compliance practices for retail crypto trading and custody. Subject matter expert with 7 plus years as a retail compliance officer in brokerage, banking or trust services.
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We are seeking an Associate to join the Internal Audit Division (IAD) Global Financial Crimes (GFC) team to support assurance activities over the Firm’s financial crime risk management and controls framework, including Anti-Money Laundering (AML), Know Your Customer (KYC), Sanctions, and Anti-Bribery and Corruption.
$105,000 a yearFull-timeExpandApply NowActive JobUpdated 17 days ago - UpvoteDownvoteShare Job
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The Chief of Ambulatory Care serves to oversee and improve the outpatient clinical services; oversee the operational services, in conjunction with the Ambulatory Care administrative lead; and to represent Ambulatory Care facility-wide.
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The CISO will be responsible for the compliance of IT systems, applications and networks with security policies and information protection strategies; develop, publish, and maintain Agency information security policies, standards, procedures, and guidelines; provide technical guidance and training to information "owners," agency IT teams, and design and implement programs for user awareness, and security compliance monitoring.
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Work closely with the Chief Diversity Officer and other campus partners to provide institutional diversity, equity, and inclusion (DEI) initiatives that impact the student experience at NJIT.
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