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Compliance Coordinator
1 week ago
LicenseSure LLC New York, United StatesWork alongside a construction law firm and with businesses large and small, including some of the largest and most well-known architecture and engineering firms in the world. · Job duties include preparation of business incorporation and qualification papers and ongoing complianc ...
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Compliance Coordinator
1 day ago
Shipco Transport Inc Hoboken, United States**Shipco Transport Inc.,** a leading international cargo transportation company, has an immediate opening at our **America's Regional Office **branch located in **Hoboken, NJ **for an experienced **Compliance Coordinator**. · The primary responsibility of the Compliance Departmen ...
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Mwbe Compliance Coordinator
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NYC Careers New York, United States**MWBE Compliance Coordinator**: · - Apply**MWBE Compliance Coordinator**: · - Agency: POLICE DEPARTMENT · - Posted on: 05/14/2024- Job type: Full-time · Location · NYC-ALL BOROS · - Title Classification: Exam may be required · Department · Contract Admin Procure Div/CV · - Salar ...
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HR Compliance Coordinator
2 weeks ago
Soloh Partners Inc New York, United States**Position**: HR Compliance Coordinator · - **Location**: New York, NY · - **Schedule**: Monday - Friday 9am - 5pm · - **Hourly Rate**: $ $36.00 · **Job Types**: Full-time, Temp-Perm · Expected hours: 40 per week · **Benefits**: · - 401(k) · - Dental insurance · - Health insuranc ...
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Compliance Coordinator
1 week ago
Otis Worldwide Corporation NEW YORK, United StatesManage the administrative process specifically related to the testing and violations process. Assist the Violations General Manager in all aspects of the violations process. Work closely with the service supervisors and mechanics to achieve goals. En Compliance Coordinator, Coord ...
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Compliance Coordinator
1 week ago
Credit Agricole New York, United StatesSummary: · Â · Under the supervision of the FCS New-York, the Compliance Coordinator will work closely with the New York Compliance/ CPL team to support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risks as well as act ...
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Compliance Coordinator
2 weeks ago
Atlantic Group New York, United StatesOur client is a prominent Hedge Fund managing over $15 billion in assets, seeking a Compliance Coordinator to facilitate new hire procedures, ensure adherence to compliance protocols, aid in broker statement analysis, and manage miscellaneous Compliance projects. · Responsibiliti ...
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Compliance Coordinator
1 week ago
Atlantic Group New York, United StatesOur client is a prominent Hedge Fund managing over $15 billion in assets, seeking a Compliance Coordinator to facilitate new hire procedures, ensure adherence to compliance protocols, aid in broker statement analysis, and manage miscellaneous Compliance projects. · Responsibilit ...
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Compliance Coordinator
2 weeks ago
Atlantic Group New York, United StatesOur client is a prominent Hedge Fund managing over $15 billion in assets, seeking a Compliance Coordinator to facilitate new hire procedures, ensure adherence to compliance protocols, aid in broker statement analysis, and manage miscellaneous Compliance projects. · Responsibilit ...
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Compliance Coordinator
2 weeks ago
Crédit Agricole CIB Limited New York, United StatesVacancy details · General information · Entity · About Crdit Agricole Corporate and Investment Bank (Crdit Agricole CIB) · Crdit Agricole CIB is the corporate and investment banking arm of Crdit Agricole Group, the 10th largest banking group worldwide in terms of balance sheet s ...
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Compliance Coordinator
1 week ago
Momentum Resource Solutions New York, United StatesThe Corporate Compliance department supports the Agency in maintaining compliance in all areas of operations. The department focuses on promoting a culture of compliance, preventing and detecting fraud, waste and abuse, and educating staff on their rights to report suspected non- ...
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Compliance Coordinator
2 weeks ago
Momentum Resource Solutions New York, United StatesThe Corporate Compliance department supports the Agency in maintaining compliance in all areas of operations. The department focuses on promoting a culture of compliance, preventing and detecting fraud, waste and abuse, and educating staff on their rights to report suspected non- ...
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Compliance Coordinator
3 weeks ago
Momentum Resource Solutions New York, United StatesThe Corporate Compliance department supports the Agency in maintaining compliance in all areas of operations. The department focuses on promoting a culture of compliance, preventing and detecting fraud, waste and abuse, and educating staff on their rights to report suspected non- ...
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Compliance Coordinator
5 days ago
Otis Worldwide New York, United StatesDate Posted: · Country: · United States of America · Location: · OT234: GW - NEW YORK, NY One Penn Plaza, NEW YORK, NY, 10119 USA · Otis Elevator Company is searching for a highly motivated Compliance Coordinator. The selected candidate for this position will be expected to repor ...
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Compliance Coordinator
4 days ago
Otis Elevator CO New York, United StatesDate Posted: · Country: · United States of America · Location: · OT234: GW - NEW YORK, NY One Penn Plaza, NEW YORK, NY, 10119 USA · Otis Elevator Company is searching for a highly motivated Compliance Coordinator. The selected candidate for this position will be expected to ...
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Education Compliance Coordinator
2 weeks ago
The Fedcap Group Queens, United States**JOB SUMMARY** · The Education Compliance Coordinator will review, report, and track operational procedures and outcomes to ensure consistent adherence to the internal and external compliance requirements as well as the school's standards for success. The · **ESSENTIAL FUNCTIONS ...
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Compliance Coordinator/Associate
2 weeks ago
Glocap New York, United StatesOur client, a leading private equity firm in Midtown Manhattan is looking for a Compliance Coordinator/Associate to join their team. This role will assist the CCO to ensure the organization is in compliance with all regulations, laws, and policies. The Compliance Coordinator/Asso ...
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Program Compliance Coordinator
2 weeks ago
Bowery Residents' Committee New York, United StatesThe Program Compliance Coordinator works as part of the Program Compliance team to ensure that BRC programs provide high quality and safe client services that meet funder regulations. The position is responsible for identifying program compliance risks and potential violations, t ...
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Compliance Coordinator/Associate
5 days ago
Glocap New York, United StatesOur client, a leading private equity firm in Midtown Manhattan is looking for a Compliance Coordinator/Associate to join their team. This role will assist the CCO to ensure the organization is in compliance with all regulations, laws, and policies. The Compliance Coordinator/Asso ...
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Quality Compliance Coordinator
2 weeks ago
PRWT Services New York, United StatesQuality Compliance Coordinator · in · Rahway, NJ · at · PRWT Services · Job Description As one of the nation's premier minority-owned companies, we are a high performance provider of business process solutions, facilities management and infrastructure support services to gov ...
VP, FCS Compliance Coordinator - New York, United States - Crédit Agricole CIB
Description
Summary:
Under the supervision of the FCS (Financial Client Services) New-York, the Compliance Coordinator will work closely with the New York Compliance/ CPL team to support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risks as well as act as the coordinator between CACIB Business Lines/Support Functions and CACIB New York compliance teams.
Key Responsibilities:
General
Point of contact for New York Compliance team in the business lines/support functions, including but not limited to
Support awareness of applicable laws, rules and regulations (LRR) and work closely with CPL Regulatory Watch team assessing the impact of regulatory changes and leading implementation of changes at the business lines/support functions
Support business lines/support functions with annual Compliance Risk Assessment and any remediation efforts thereof
Implement Compliance policies and procedures in the business line s/support functions
Maintain business line/support function policies and procedures addressing compliance requirements, including annual updates and addressing of gaps and self-identified issues
Design, execute and report on Compliance controls for the business lines/support functions
Build an initial Compliance control inventory and maintain on an on-going basis, including the quarterly submission and annual attestation
Act as the coordinator for Business Lines/Support Functions and provide support to Compliance Testing, Compliance Monitoring and Audit missions
Identify Compliance issues and gaps and update/maintain Issue Management tracker
Escalate Compliance related incidents to respective leadership and governance forums, assist with resolution
Actively manage remediation of Compliance issues or findings, including self-identified issues
Support annual Compliance training needs assessment and assist in development of business line/support function Compliance training
Participate in and contribute Compliance-related topics to CACIB US governance forums, such as CMC, ICC
Support the Regulatory Affairs team with responses to banking and market regulators
Collect and report on Compliance metrics
Perform tasks to support Compliance-lead projects to enhance the business lines compliance policies, procedures, and internal controls
Management and Reporting:
The position reports directly to the head of FCS NY or one of his deputies
SPECIAL ROLE REQUIREMENTS:
Minimum 5-7 years' experience of Compliance/ Business Management/ Audit/ Risk Management or other equivalent work experience.
Experience of identifying and documenting compliance risks & controls.
Experience of drafting compliance policies and procedures
Knowledge of one or more of the following categories of regulations or subject matters:
Banking regulations
Broker-Dealer and Swap Dealer regulations (e.g., FINRA rules, SEC rules, CFTC, NFA etc.)
Business Conducts (e.g., Anti-Bribery & Corruption, Whistleblowing, Conflicts of Interest, Conduct Risks, Fraud risks etc.)
Knowledge of other regulations (e.g., privacy, tax compliance, cybersecurity etc.) is a plus
General knowledge of the capital markets, investment banking, and corporate financing activities and products.
Project management experience is a plus.
Strong attention to details and analytical skills.
Ability to work independently as well as work in a team environment.
Ability to prioritize and work in a dynamic and deadline-focused environment.
Ability to adapt to constant changes and demonstrate positive work attitude.
Ability to communicate well across all levels of an organization including presentation with senior management.