Senior Regulatory Exams - New York

A senior-level opportunity within a Broker-Dealer Regulatory Governance & Advisory team at a global financial institution. · Provide compliance guidance and challenge to business and support teams on regulatory and compliance matters · Escalate potential conduct issues, incidents ...

G MASS Consulting are partnered with a leading Hedge Fund to appoint an experienced Compliance Officer who will take ownership of day-to-day regulatory governance and provide line-of-business coverage across its U.S. broker-dealer. · ...

As part of Risk Management and Compliance, you are at the center · of keeping JPMorgan Chase strong and resilient.You help the firm grow its business in a responsible way by anticipating new and emerging risks, · and using your expert judgement to solve real-world challenges that ...

An Equities Compliance Officer opportunity with a globally recognized financial services firm. This role supports the Equities business, · providing day-to-day regulatory guidance and oversight in line with U.S. securities laws. · ...

This is a full-time role where you would serve as a key regulatory advisor to the business. · The position is centered on regulatory strategy and advisory—providing guidance on CFTC and NFA rules, · Commodity Exchange Act and Dodd-Frank requirements, · supporting regulatory filin ...

A Regulatory Strategy Lead – Derivatives & Swaps opportunity focused on U.S. derivatives regulation, with a strong emphasis on CFTC and NFA matters, including swaps and related products. This is a full-time role where you would serve as a key regulatory advisor to the business, p ...

· Introduction · Established in 1912, Bank of China is one of the largest banks in the world, with over $3 trillion in assets and a footprint that spans more than 60 countries and regions. Our long-term outlook, institutional weight and global breadth provide our clients with a ...

Description · Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your e ...

As part of Team Amex, you'll experience our powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills. · The Senior Manager will ensure the first line can respond to supervisory inquiries quickly and consistently. · ...

The Senior Manager will be responsible for leading the team and ensuring that all regulatory requirements are met. · ...

We're looking for a compliance professional to join our team supporting broker-dealer regulatory governance within a large financial services organization. · Experience in broker-dealer compliance or regulatory advisory roles · Strong knowledge of U.S. securities laws and regulat ...

The Head of Prudential Coverage & Governance will report directly to the Enterprise Regulatory Engagement Head under the Citibank, National Association and North America Head Office. · The Head of Prudential Coverage & Governance role within the new Enterprise Regulatory Engageme ...

We partner with regulated organizations seeking Cybersecurity GRC Specialists to support compliance-driven cybersecurity governance, · risk management and control initiatives. ...

Lensa is a career site that helps job seekers find great jobs in the US. We are not a staffing firm or agency. Lensa does not hire directly for these jobs, but promotes jobs on LinkedIn on behalf of its direct clients, recruitment ad agencies, and marketing partners. Lensa partne ...

Reporting to the Head of Compliance Transversal division for Americas, · the Reporting & Training Officer will define and improve the Compliance reporting · framework and execute the annual CACIB Americas Training plan.Create or assist with preparation and delivery of ad-hoc com ...

We are seeking a Director of Financial Crimes Governance and Exam Management to join our team at American Express. This role will be responsible for establishing a robust control foundation for first line of defense FCRM activities across the company globally. · ...

G MASS Consulting are partnered with a leading Hedge Fund to appoint an experienced Compliance Officer who will take ownership of day-to-day regulatory governance and provide line-of-business coverage across its U.S. broker-dealer. · ...

· G MASS Consulting are partnered with a leading Hedge Fund to appoint an experienced Compliance Officer who will take ownership of day-to-day regulatory governance and provide line-of-business coverage across its U.S. broker-dealer, with a particular focus on Operations, Treasu ...

This position requires managing a large team spread across NY, Warsaw , and Mumbai. · The ideal candidate should have deep expertise in FRTB implementation for a large global bank. · Key requirements include strong familiarity with FRTB rules in more than one jurisdiction, · a s ...

Seeking experienced compliance professionals to oversee regulatory governance and drive exam readiness for Broker Dealer firm. Two open positions available: Compliance Analyst (Governance / Compliance Ops) and Senior BD Coverage. · Owning trackers, governance cadence, metrics/rep ...