- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and ... Other job-related duties may be assigned as required. **Job Family Group:** Compliance and Control **Job Family:** Surveillance **Time Type:** Full time… more
- Bloomberg (New York, NY)
- SEF Compliance Surveillance Lead and Advisory Compliance Officer - Legal & Compliance **New York, NY** Posted Apr 25, 2024 - Requisition No. 124842 ... We are looking for a Swap Execution Facility (SEF) Compliance Officer to join our SEF ...Assist with investigations and disciplinary actions + Provide advisory compliance services to the business + Review,… more
- Citigroup (Getzville, NY)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Personal Trading & Outside Activities team responsible for assisting ... include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the supported function/ business /product and guidance… more
- Saratoga Casino Hotel (Saratoga Springs, NY)
- …Saratoga Casino Hotel welcomes you to apply! Your Role: Our successful Surveillance Officers promote outstanding relations with all guests and fellow Team Members ... Role: + At least 18 years of age + Previous experience in casino surveillance preferred. + Excellent written and verbal communication skills required. + Ability to… more
- Guardian Life (New York, NY)
- The Chief Compliance Officer of Park Avenue Securities (PAS) will be responsible for representing the firm to regulatory bodies and other key constituents as ... and other regulations, and ensure our organization remains in compliance . The Chief Compliance Officer ...in leading a team of associates providing guidance to business partners; oversight/ surveillance to the firm's daily… more
- S&P Global (New York, NY)
- …analytics and business intelligence skills. **Responsibilities:** As a Control Room Compliance Officer , you will be expected to + Monitor communications ... Role:** **Grade Level (for internal use):** 10 **The Role:** Compliance Officer - Control Room **The Team:**... Monitoring and Exams part of S&P Global Ratings Compliance . Its members apply standardized monitoring and surveillance… more
- Charles Schwab (Southlake, TX)
- **Your opportunity** **Managing Director & Chief Compliance Officer - Charles Schwab & Co** **We believe** , when done right, investing liberates people to ... our website at https://www.schwab.com . **Role Overview:** The Chief Compliance Officer (CCO) reports directly to the...In addition, the CCO will oversee testing, monitoring and surveillance of compliance with policies and procedures,… more
- S&P Global (New York, NY)
- **About the Role:** **Grade Level (for internal use):** 12 **The Role: Compliance Officer ** The Compliance Officer role is based in Englewood or New York ... Working with Compliance Officers both in North America and globally, the Compliance Officer will be the primary liaison point between any assigned Ratings… more
- Capital One (New York, NY)
- …(22957), United States of America, New York, New York Commercial Broker Dealer Chief Compliance Officer - Sr. Director The Sr. Director will be the Commercial ... Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional...compliance support to the Capital Markets line of business , a division within the Commercial Bank of Capital… more
- Morgan Stanley (New York, NY)
- …Morgan Stanley sponsored benefit programs.#LI-JB3 **Job:** **Other* **Title:** *Volcker Compliance Officer (Vice President)* **Location:** *New York-New York* ... a Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines, legal...support functions on the development of Volcker controls and surveillance . > Working with compliance training staff… more
- Citigroup (Getzville, NY)
- … compliance training resources and tools available centrally to support country/ business compliance programs training and research needs. + Additional duties ... Serves as a compliance risk officer for Independent ...relationships within CIA function and with other stakeholders including Business process owners and Internal Audit function. + Identifying… more
- Citigroup (Tampa, FL)
- … compliance training resources and tools available centrally to support country/ business compliance programs training and research needs. + Additional duties ... Serves as a compliance risk officer for Independent ...surveillance systems, and reporting activities. + Knowledge of Compliance laws, rules, regulations, risks and typologies and private… more
- Bosch (Burnsville, MN)
- …voice, sound and music complete our offering. **Job Description** The Foreign Trade Compliance Officer is responsible for ensuring that Bosch Security Systems ... or a related field. + At least 10 years of experience in foreign trade compliance , customs regulations, and international business practices within the NA / LA… more
- Morgan Stanley (Chicago, IL)
- …Risk Officer and/or the Regional Risk Officer * Focuses on business ethics and regulatory and compliance practices * Provides coaching and guidance on ... dual reporting to the Market Manager and Senior Risk Officer . *DUTIES and RESPONSIBILITIES:* ** * Surveillance and...any Human Resources issues as related to risk and compliance . * Together with the Senior Risk Officer… more
- Morgan Stanley (Jacksonville, FL)
- …Risk Officer and/or the Regional Risk Officer * Focuses on business ethics and regulatory and compliance practices * Provides coaching and guidance on ... reporting to the Complex Manager and Senior Complex Risk Officer . *DUTIES and RESPONSIBILITIES* ** * Surveillance and...compliance . * Together with the Senior Complex Risk Officer facilitates the training on Morgan Stanley Wealth Management… more
- Morgan Stanley (Houston, TX)
- …Risk Officer and/or the Regional Risk Officer * Focuses on business ethics and regulatory and compliance practices * Provides coaching and guidance on ... has dual reporting to the Complex Manager and Senior Complex Risk Officer . *DUTIES and RESPONSIBILITIES:* * Surveillance and Supervision* * Primary responsibility… more
- Federal Reserve System (Detroit, MI)
- …to Officer in Charge (OIC). + Monitor equipment including surveillance , intercoms, telephones, radios, and other specialized equipment to perform law enforcement ... Federal Reserve Bank of Chicago As a Federal Reserve Law Enforcement (FRLE) officer , you will protect and safeguard the premises, grounds, property, personnel, and… more
- Morgan Stanley (Houston, TX)
- …escalation from the Complex to the Regional Risk Officer . Focuses on business ethics and regulatory and compliance practices . Provides the coaching and ... is responsible for a wide variety of supervisory, compliance , and risk functions related to the Complex. In...line reporting to the Complex manager and Regional Risk Officer . DUTIES and RESPONSIBILITIES: Surveillance and Supervision… more
- Morgan Stanley (Birmingham, AL)
- …escalation from the Market to the Regional Risk Officer . Focuses on business ethics and regulatory and compliance practices . Provides the coaching and ... is responsible for a wide variety of supervisory, compliance , and risk functions related to the Market. In...reporting to the Market Executive and Associate Regional Risk Officer . *DUTIES and RESPONSIBILITIES:* * * * Surveillance … more
- Houston Methodist (Houston, TX)
- At Houston Methodist, the Security Officer position is responsible formaintaining a safe and secure environment for patients, staff and visitors by patrolling and ... personal protection, traffic control and emergency response services. The Security Officer position may employ Houston Methodist-approved defensive tactics to ensure… more