Senior Compliance Officer – Regulatory Initiatives, Policies and Procedures - New York

Job summary · Guggenheim Investments is seeking a Vice President to join its Policies, Procedures, and Controls team. · 7+ years of experience in a financial services organization or equivalent experience at a top consulting or law firm · Bachelor's degree required · ...

Guggenheim Investments (GI) seeks a Vice President for its Policies, Procedures, and Controls team. The team develops governance frameworks for policies and procedures. · This Vice President will work in a fast-paced environment collaborating with subject matter experts across th ...

Guggenheim Investments is seeking a Vice President to join its Policies Procedures and Controls team. · Develop draft and update policies procedures process flows checklists charters and related documentation to accurately reflect Firm practices products processes and regulatory ...

+Job Summary · Actively seeking a CONTRACT Policy & Procedure Specialist to work in a HYBRID and CONTRACT Role.The role will run for about 2 Years. · ,+QualificationsBachelor's Degree REQUIRED · , Advanced degree or certifications (e.g., JD, CCEP, CRMP) HIGHLY PREFERRED · ,+Resp ...

Seeking a CONTRACT Policy & Procedure Specialist to work in a HYBRID and CONTRACT Role. The role will run for about 2 Years, is project based in evaluating, auditing, and writing policies and procedures for a prominent Nonprofit. · ...

The Compliance department acts as Second Line of Defense of the corporate banking, investment banking and broker–dealer activities across Societe Generale's operations. · Drafting and editing updates to Compliance Department policies and procedures as needed; · Reviewing and revi ...

We are seeking a detail-oriented and highly organized analyst to support international sanctions program execution within the Policy, Procedure, and Project Management pillar. · Serve as the main point of contact for international sanctions partners · Track and monitor internatio ...

We are seeking a detail-oriented and highly organized analyst to support international sanctions program execution within the Policy, Procedure, and Project Management pillar. This role is ideal for someone with a global mindset who excels in collaboration, communication, and cro ...

The Compliance department acts as Second Line of Defense of the corporate banking, investment banking and broker–dealer activities across Societe Generale's operations, reporting on the compliance risks and issues to local, regional, and head office management. · ...

The Head of Policies, Procedures, & Compliance Analytics is responsible for supporting the effective design and implementation of Apple Bank's Compliance Management System (CMS). · This role ensures that all compliance policies and procedures are aligned with applicable laws and ...

+ Develop and maintain compliance policies and procedures for Lord Abbett.+ Coordinate with key stakeholders across the firm.+ Track regulatory changes and updates. · Job summary: Senior Compliance Associate will play a critical role in working closely with business counterparts ...

Job summary · This Compliance Officer is a key member of the TDS US Compliance Regulatory Initiatives Team and U.S. Wholesale Compliance Group. · ...

The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk. · The job involves coordinating with stakeholders globally to ...

The Senior Compliance Officer provides advice,guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk. · Coordinate with stakeholders globally to build,maintain and ...

This Compliance Officer is a key member of the TDS US Compliance Regulatory Initiatives Team. · ...

A leading global financial institution seeks a Compliance Officer to support firmwide policy governance initiatives. · This highly collaborative role involves developing maintaining compliance policies procedures regulatory-driven enhancements internal communications training ali ...

An investment bank located in Midtown Manhattan looking to bring on board a Compliance Officer to join their team. · ...

The Audit Manager will lead and execute financial, operational, and compliance audits Internal policies regulatory requirements while driving process improvements and risk mitigation strategies · Internal auditing processes. · ...

The Department of Social Services (DSS) is comprised of the administrative units of the New York City Human Resources Administration (HRA) and the Department of Homeless Services (DHS). HRA is dedicated to fighting poverty and income inequality by providing New Yorkers in need wi ...

The Department of Social Services (DSS) is comprised of the administrative units of the New York City Human Resources Administration (HRA) and the Department of Homeless Services (DHS). HRA is dedicated to fighting poverty and income inequality by providing New Yorkers in need wi ...