Company: MMC Corporate Description: Marsh McLennan Agency (MMA) is seeking a Senior Compliance Officer to serve... brokerage businesses. The Senior Compliance Officer will cover an array of issues and will support the execution...
Application Deadline: 08/21/2025 Address: 151 W 42nd Street Job Family Group: Audit, Risk & Compliance... Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and corresponding...
. Previously, Mayor Adams has served the people of New York City as an NYPD officer, state senator, and Brooklyn borough president... with the city and its agencies. The Problems You'll Solve The incumbent will report to the Deputy Director, Compliance...
Compliance and Risk Officer, will be a highly visible, senior leadership position, reporting directly into the Global/Executive... Chief Compliance and Risk Officer, working closely with RPW senior leadership to collectively support the growing RPW...
Growing clearing fintech broker dealer is seeking a compliance officer to further enhance their Reg Sho framework.... Key Responsibilities Maintain, administer, and enhance compliance policies, procedures, and written supervisory...
oriented exceptional professional to serve as Assistant Agency Chief Contracting Officer (AACCO) of Compliance. The... MANAGER or ADMINISTRATIVE MANAGER The Bureau of the Agency Chief Contracting Officer within the Division of Finance...
they are and what they contribute. To learn more about CIBC, please visit What You’ll Be Doing: The Swap Dealer Compliance Officer is responsible.... The Swap Dealer Compliance Officer is primarily responsible for 1) advising CIBC’s global Swaps OTC Derivatives businesses...
Frameworks Compliance Officer, VP Morgan Stanley is seeking a Compliance Officer to join the Swap Dealer Compliance... and security-based swap dealers, including assisting each applicable Chief Compliance Officer (CCO) in satisfying their duties...
IM Distribution Advisory Compliance Officer Morgan Stanley Overview Morgan Stanley is a leading global financial... Chief Compliance Officer duties. Qualifications: > 10+ years of prior experience in a legal, compliance or regulatory...
Risk Assessment Officer is in charge of implementing the CACIB US Compliance Risk Assessment Program. Compliance risks... that apply to them. The Compliance Risk Assessment Officer's mandate is to ensure the firm's CRA process is appropriately executed...
Job description Business type Types of Jobs - Compliance / Financial Security Job title Compliance Officer - Compliance Risk Assessment... within the Transversal Compliance Team, the Compliance Risk Assessment Officer is in charge of implementing the CACIB...
Job description Business type Types of Jobs - Compliance / Financial Security Job title Compliance Officer - Compliance Risk Assessment... within the Transversal Compliance Team, the Compliance Risk Assessment Officer is in charge of implementing the CACIB...
Job description Business type Types of Jobs - Compliance / Financial Security Job title VP, CUSO Compliance Risk Assessment Officer... Contract type Permanent Contract Job summary Summary: The Compliance Department at Credit Agricole's Combined...
Job description Business type Types of Jobs - Compliance / Financial Security Job title VP, CUSO Compliance Risk Assessment Officer... Contract type Permanent Contract Job summary Summary: The Compliance Department at Credit Agricole's Combined...
Job Description: Job Title Compliance Officer – Fixed Income Sales & Trading - Credit Corporate Title Vice..., with the ability to effectively influence others and engage senior stakeholders and foster collaboration among Compliance, the...
processes to serve as Chief Compliance Officer. The selected candidate for this position will use an independent, structured... matters related to fiscal oversight or of agency-wide significance, the Chief Compliance Officer duties and responsibilities...
Chief Compliance Officer, the Executive Committee and Senior Management Track and monitor issues identified from the... Job description Business type Types of Jobs - Compliance / Financial Security Job title Compliance Testing and Monitoring Officer...
Chief Compliance Officer, the Executive Committee and Senior Management Track and monitor issues identified from the... Job description Business type Types of Jobs - Compliance / Financial Security Job title Compliance Testing and Monitoring Officer...
results to stakeholders which may include the Chief Compliance Officer, the Executive Committee and Senior Management Track...Summary: Under supervision of the Head of Compliance Testing and Monitoring, as part of the Credit Agricole CIB...
and written communication skills, with the ability to influence senior stakeholders and present complex compliance findings. Work... Job description Business type Types of Jobs - Compliance / Financial Security Job title Head of Monitoring & Surveillance Compliance...