Job Description: Employer: DWS Group Title: Senior Compliance Testing Officer Location: New York Job Code: #LI... that control gaps are adequately escalated and mitigated through remedial actions. The Senior Compliance Testing Officer...
Position Summary Responsibilities Key Responsibilities Supervise 2 or more compliance officers; Analyze... proposed transactions and provide compliance guidance; Perform post-transaction surveillance and reporting tasks; Monitor...
Overview: Marathon is seeking a highly skilled and experienced Chief Compliance Officer to join our dynamic... performance, service, and reliability on behalf of our clients. Position Overview The Chief Compliance Officer (CCO...
of benefits to its employees. Role Description The successful candidate will serve as the Chief Compliance Officer (CCO... of compliance manuals, policies, and procedures. Engage with and advise senior management and staff on all issues concerning...
Job Description: Job Title Compliance Officer – Investment Bank Compliance – Origination & Advisory – Capital Markets... as outlined the in the annual monitoring plan Perform testing and monitoring of compliance with firm policies and conduct risk...
Job Description: Job Title Compliance Officer – Investment Bank Compliance – Origination & Advisory – Capital Markets... others and engage senior stakeholders and foster collaboration among Compliance, the Business and other infrastructure functions...
, highly effective compliance program. The Chief Compliance Officer of Figure Lending will lead the Lending compliance team... and oversee the related compliance and regulatory functions. The Chief Compliance Officer of Figure Lending will assume primary...
Compliance Officer advises and assists the Firm's Sales and Trading Divisions in establishing, implementing, and testing... and Trading Compliance Officer ("Sales and Trading Compliance Officer") within Guggenheim Securities. The Sales and Trading...
Job Description: Job Title Investment Bank Compliance Officer – Origination & Advisory Corporate Title Vice... verification checks as outlined in the annual monitoring plan Perform testing and monitoring of compliance with firm policies...
RGFO Chief Compliance Officer. The ideal candidate will have extensive experience in broker-dealer activities and a deep... to Branch Supervisors and Private Advisors. Advise senior management on key regulatory focus areas and emerging compliance...
examinations or inquiries, internal or external audits, compliance testing, and surveillance queries as related to the business...Job Description: Job Title Swap Dealer and Security-Based Swap Dealer Compliance Corporate Title Vice President...
About the Role: Ash is seeking a full-time Chief Financial Officer (CFO) based in New York City to join our executive... financial reports on a monthly, quarterly and annual basis. Ensure accuracy and compliance in official reports. Maintain...
Citibank, N.A. seeks a Risk Reporting Officer for its New York, NY location. Duties: Design and produce analysis... and reports enabling senior management, risk report users, and data providers to identify operational risks associated...
As the AML/BSA Officer at BitPay, you will be instrumental in ensuring that our compliance and risk operations meet... risk and compliance concepts effectively and facilitate agile decision-making alongside other department leaders...
: Collaborate with the Chief Technology Officer (CTO) and other senior leaders to define and execute the organization's technology... desk, computer operations, telecommunications, and document management. The Deputy Chief Technology Officer (DCTO...
Friday evening beer and game nights! AML/BSA Officer Remote Full Time Experienced As the AML/BSA Officer at BitPay..., you will be instrumental in ensuring that our compliance and risk operations meet all relevant regulations, including those set by the New York...
& audit management,; control & compliance testing. Responsibilities FLOD Risk Strategic Activities – Works with Sr.... Business Process Risk Manager (BPRM) and Chief Underwriting Officer (CUO) of Commercial Finance to help implement risk...
analyst at Senior Vice President level to join the Default Risk team in New York. The team is responsible for development... of the credit risk models used for Basel, stress-testing, loss reserves for Citi's wholesale credit portfolios...
, LATAM, GCIB/COO senior management, etc.) Serve as back-up reviewer across AMRS, APAC EMEA LATAM Develop and execute... and deliverables. Drive lexicon development and oversight program. Develop and distribute executive-level reporting to senior...
(e.g., Compliance, Enterprise Independent Testing (EIT), Risk, Operations and Technology, Legal, Audit and Human Resources... but not limited to compliance with regulatory rules and guidance as well as operational controls in partnership with the business...