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Compliance Officer
6 days ago
NYC Careers Manhattan, United States**Compliance Officer**: · - Apply**Compliance Officer**: · - Agency: OFFICE OF THE COMPTROLLER · - Posted on: 05/15/2024- Job type: Full-time · Location · MANHATTAN · - Title Classification: No exam required · Department · Asset Management · - Salary range: $125, $140, The Office ...
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Compliance Officer
10 hours ago
Piermont Bank New York, United States**About Us**: · **The Role**: · The Compliance Officer is responsible for all aspects of the consumer compliance program to ensure Piermont Bank adheres to applicable laws, regulations, and in-house policies and procedures while keeping abreast of all regulatory developments and ...
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Compliance Officer
1 week ago
Kohlberg Kravis Roberts & Co. New York, United States**COMPANY OVERVIEW** · KKR & Co. Inc., together with its subsidiaries, is a leading global investment firm that offers alternative asset management and capital markets and insurance solutions. KKR aims to generate attractive investment returns by following a patient and disciplin ...
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Compliance Officer
5 days ago
Catholic Charities Community Services New York, United States**Description** · Summary: This position is responsible for the administration of Human Resources policies, procedures, and programs including Compliance, Training & Development, and Employee Relations. · Essential Functions and Responsibilities include the following. Other dutie ...
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Investigations and Compliance Officer
5 days ago
NYC Careers New York, United States**Investigations and Compliance Officer**: · - Apply**Investigations and Compliance Officer**: · - Agency: DEPT OF CITYWIDE ADMIN SVCS · - Posted on: 05/16/2024- Job type: Full-time · Location · NYC-ALL BOROS · - Title Classification: No exam required · Department · Citywide Equi ...
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Compliance Officer, Us
1 week ago
Raisin New York, United StatesYour Responsibilities · As our US Compliance officer, you'll be the lead for compliance in one of our fastest-growing and dynamic teams. You'll lead our independent function in the US and report into our Compliance team based in Head Office, but will work closely with the US exec ...
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Compliance Business Officer
1 day ago
Sumitomo Mitsui Banking Corporation New York, United StatesSMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 ...
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Research Compliance Officer
6 days ago
New York State Psychiatry Institute New York, United States**Job Title**: Research Compliance Officer · **Grade**: 37 · **Salary**: $167,905 - $190,003 · The Research Foundation for Mental Hygiene is seeking a qualified applicant to fill a full-time Research Compliance Officer position at the New York State Psychiatric Institute. · The R ...
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Insurance Compliance Officer
1 week ago
Sonata Healthcare New City, United States**Sonata Care is one of the top insurance brokerages in the nation**. We are looking for an experienced Insurance Compliance Officer to join our team · We have a 5-star office environment - our company is growing fast, and this is an opportunity for you to come onboard and grow w ...
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Compliance Officer
10 hours ago
Columbia University Manhattanville, United StatesJob Type: Officer of Administration · - Regular/Temporary: Temporary · - End Date if Temporary: 12/31/2024 · - Hours Per Week: 35 · - Salary Range: $112,000 - $137,100 · - The salary of the finalist selected for this role will be set based on a variety of factors, including but n ...
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Aml-kyc Compliance Officer
4 days ago
EF Hutton New York, United States**The Company** · EF Hutton is a fast-paced, high-growth, global investment bank founded by experienced investment professionals that have collectively financed over $250 billion for public and private companies alike. EF Hutton offers strategic advice and financing solutions to ...
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Trust Compliance and Risk Officer
2 weeks ago
Amalgamated Bank of NY New York, United StatesAmalgamated Bank is seeking a Trust Compliance & Risk Officer to be responsible for the Compliance and Risk Management Program for the Bank's Investment Management Division/Trust Department and compliance with applicable federal/state laws and regulations, contractual obligations ...
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Regulatory Change Compliance Officer
3 days ago
Société Générale New York, United States**Responsibilities**: · Responsibilities include, but are not limited to: · - Monitoring, reviewing, tracking, and disseminating changes to applicable laws, rules, and regulations to determine applicability and impact to SG's U.S. business operations · - Communicating regulatory ...
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Employee Compliance Officer
2 weeks ago
Sumitomo Mitsui Banking Corporation Jersey City, United StatesSMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 ...
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Homecare Compliance Officer
1 week ago
Anchor Health Home Care Brooklyn, United States_At Anchor Health Home Care, we deeply appreciate the privilege of being welcomed into the family circle to provide care for our neighbors' beloved family members._ Our dedicated corporate office team at Anchor Health Home Care serves as the central hub for communication among cl ...
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Homecare Compliance Officer
1 week ago
Anchor Health Home Care Brooklyn, United StatesAs a **Compliance Officer **you will be responsible to implement compliance policies and procedures throughout our nursing and HR departments to ensure that all processes are in compliance with the DOH regulations. · **Compliance Officer Responsibilities and Requirements**: · - I ...
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Fincrime Compliance Officer Legal Rules
1 week ago
Barclays New York, United States**FinCrime Compliance Officer Legal Rules, Regulations, and Trade Finance Vice President** · **New York, NY** · As a Barclays FinCrime Compliance Officer Legal Rules, Regulations, and Trade Finance Vice President (VP), you will be directly assisting the Americas Head of Financial ...
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Corporate Banking Compliance Officer, Avp
5 days ago
MUFG Bank, Ltd. New York, United States**Do you want your voice heard and your actions to count?** · Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we're 120,000 colleagues, striving to make a difference for every client, organizati ...
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Control Group Compliance Officer
1 week ago
DataAxxis Jersey City, United States**Position: Compliance Control Group Officer** · Contract Length: 4-months (military leave) · Pay Rate: 1099/C2C $650- $820 · Location: Hybrid/Manhattan or Jersey City Office · **Company Description**: · We are a global leading full-service investment banking and capital markets ...
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NYC Careers New York, United States**Labor Compliance Officer, Labor Monitoring Unit**: · - Apply**Labor Compliance Officer, Labor Monitoring Unit**: · - Agency: HOUSING PRESERVATION & DVLPMNT · - Posted on: 04/18/2024- Job type: Full-time · Location · NYC-ALL BOROS · - Title Classification: No exam required · Dep ...
VP Compliance Officer - New York, United States - Quanteam - North America (rainbow Partners Group)
Description
As the founding entity of RAINBOW PARTNERS, Quanteam is a consulting firm specializing in the fields of Banking, Finance, and Financial Services. Guided by our core values of closeness, teamwork, diversity, and excellence, our team of 1,000 expert consultants, representing 35 different nationalities, collaborates across 10 international offices: Paris, Lyon, New York, Montreal, London, Brussels, Geneva, Lisbon, Porto and Casablanca.
Context:
Our client, a leading investment bank based in New York City, is seeking a dynamic and experienced professional to join their team as a Compliance Risk Assessment Manager. The successful candidate will play a crucial role in ensuring compliance with industry regulations and managing risk within the financial services sector.
Responsibilities:
Conduct comprehensive risk assessments in alignment with regulatory requirements and industry best practices.
Analyze and evaluate the effectiveness of existing compliance controls and identify potential areas of improvement.
Collaborate with cross-functional teams to gather relevant data and insights for risk assessment purposes.
Formulate strategies to address identified compliance risks and ensure the implementation of risk mitigation measures.
Work closely with business units to provide guidance on risk management and compliance best practices.
Monitor and report on the progress of risk mitigation initiatives to senior management.
Stay abreast of changes in financial regulations and assess their impact on the bank's operations.
Ensure that the organization remains in compliance with all relevant regulatory requirements.
Respond to inquiries and audits from regulatory agencies, demonstrating a deep understanding of risk assessments.
Qualifications:
Minimum 10 years overall experience
Demonstrated experience in Compliance or Risk Management within the financial services industry.
Preferably 2-3 years in a Compliance Risk Assessment related role
Bachelors degree in Finance, Business Administration, or a related field. Advanced degrees or relevant certifications would be advantageous.
Strong analytical and problem-solving skills with a profound understanding of Corporate Compliance and Risk Assessment processes and methodologies.
Excellent written and verbal communication skills, with the ability to convey complex information clearly and concisely.
Proven ability to collaborate with cross-functional teams and communicate effectively with stakeholders at all levels.
Familiarity with general rules and regulations, including those of FED, OCC, NYDFS, SEC, FINRA.
In-depth knowledge of corporate compliance programs and practices, particularly those required by SR 08-8.
Proficient in stakeholder management and possesses the ability to influence across the Three Lines of Defense.