We have other current jobs related to this field that you can find below

  • Chief Compliance Officer

    1 month ago

    New York, United States TZ CLEARING Company Full time

    TradeZero, which operates multiple broker-dealers focused on the active trader, is seeking a Chief Compliance Officer for its TZ Clear subsidiary. The role requires significant prior experience as a senior compliance officer for a US clearing firm. Experience should include without limitation:OATS/CAT reporting15c3-5 complianceAdvertising/marketing...

  • Chief Compliance Officer

    1 month ago

    New York, United States TZ CLEARING Company Full time

    TradeZero, which operates multiple broker-dealers focused on the active trader, is seeking a Chief Compliance Officer for its TZ Clear subsidiary. The role requires significant prior experience as a senior compliance officer for a US clearing firm. Experience should include without limitation:OATS/CAT reporting15c3-5 complianceAdvertising/marketing...

  • Chief Compliance Officer

    3 weeks ago

    New York, United States Atlantic Group Full time

    Job OverviewWe are seeking a highly experienced Chief Compliance Officer (CCO) to join a $10 billion Credit Hedge Fund. The ideal candidate will have a strong background in Investment Advisor (IA) compliance, with the ability to launch and build a comprehensive compliance program. The role is best suited for an attorney who can also assist with legal work,...

  • Chief Compliance Officer

    2 days ago

    new york city (brooklyn), United States TZ CLEARING Company Full time

    TradeZero, which operates multiple broker-dealers focused on the active trader, is seeking a Chief Compliance Officer for its TZ Clear subsidiary. The role requires significant prior experience as a senior compliance officer for a US clearing firm. Experience should include without limitation:OATS/CAT reporting15c3-5 complianceAdvertising/marketing...

  • Chief Compliance Officer

    1 month ago

    New York, United States Cardea Group Full time

    General Counsel & Chief Compliance Officer++ (New York, NY): Our client, a $1B+ hedge fund with a strong reputation and track record, is looking to hire their first fully dedicated GC & CCO. This new hire will be a part of the team’s executive leadership committee and spearhead their compliance program efforts while also meaningfully contributing to their...

  • Chief Financial Officer

    4 weeks ago

    New York, United States Robert Half - US Full time

    Description This job's time zone is Eastern. Our client is seeking a Chief Financial Officer to join their dynamic team in NYC. The Chief Financial Officer will play a crucial role in overseeing all financial aspects of the organization, ensuring the financial health and viability while supporting its growth objectives. In this role, you will lead the annual...

  • Chief Talent Officer

    4 weeks ago

    New York, New York, United States Grand Street Settlement Full time

    Diversity, equity, and inclusion areintegral parts of our culture and personified by our leadership.JOB SUMMARY: The Chief Talent Officer(CTO) provides executive-level leadership and guidance to theorganization's HR strategies and operations for 600+ Union andManagement staff.The CTO is responsible not only for setting,enforcing, and evaluating legally...

  • Chief Talent Officer

    4 weeks ago

    New York, United States Grand Street Settlement Full time

    Diversity, equity, and inclusion areintegral parts of our culture and personified by our leadership.JOB SUMMARY: The Chief Talent Officer(CTO) provides executive-level leadership and guidance to theorganization’s HR strategies and operations for 600+ Union andManagement staff.The CTO is responsible not only for setting,enforcing, and evaluating legally...

  • Chief Risk Management Officer, Compliance Solutions

    6 days ago

    New York, New York, United States Amazon Full time

    Position OverviewWe are seeking a dedicated and motivated professional to spearhead our second line of defense (2LoD) Risk Function.Key ResponsibilitiesThe ideal candidate will be operating at a Chief Risk Officer level within a regulated financial services organization. They will possess a robust track record in overseeing globally distributed teams that...

  • Chief Compliance and Quality Assurance Officer

    6 days ago

    New York, New York, United States Northside Center for Child Development Full time

    ABOUT NORTHSIDE CENTER FOR CHILD DEVELOPMENT Northside Center is recognized for our exceptional workplace culture and our skilled teams of educators and clinicians. We are dedicated to our mission of providing children and families with the necessary support to overcome challenges and flourish. Our high-quality, outcome-focused behavioral, mental health, and...

  • Chief Compliance and Quality Assurance Officer

    13 hours ago

    New York, New York, United States Northside Center for Child Development Full time

    ABOUT NORTHSIDE CENTERNorthside Center is recognized for its exceptional work environment and dedicated teams of professionals in education and clinical services. Our primary goal is to fulfill our mission of providing essential support to children and families, enabling them to overcome challenges and flourish. We are committed to delivering high-quality,...

  • Vice President Risk and Compliance Chief of Staff Office

    1 month ago

    New York, United States HSBC Full time

    Job description Our purpose – Opening up a world of opportunity – explains why we exist. Here at HSBC we use our unique expertise, capabilities, breadth and perspectives to...

  • Vice President Risk and Compliance Chief of Staff Office

    1 month ago

    New York, New York, United States HSBC Full time

    Job description Our purpose – Opening up a world of opportunity – explains why we exist. Here at HSBC we use our unique expertise, capabilities, breadth and perspectives to open up new kinds of opportunity for our more than 40 million customers. We're bringing together the people, ideas and capital that nurture progress and growth, helping to create a...

  • Compliance Officer

    2 days ago

    New York, United States Cardea Group Full time

    Compliance Officer – Trade Compliance and Generalist (New York, NY): Our client a Hedge Fund with over $2B in AUM is seeking a Compliance professional to join their growing legal and compliance team. This new hire will be reporting to the Chief Compliance Officer and be the go to compliance resource in the New York Office. Key Points: Role is newly created...

  • Compliance Officer

    2 days ago

    New York, United States Cardea Group Full time

    Compliance Officer – Trade Compliance and Generalist (New York, NY): Our client a Hedge Fund with over $2B in AUM is seeking a Compliance professional to join their growing legal and compliance team. This new hire will be reporting to the Chief Compliance Officer and be the go to compliance resource in the New York Office. Key Points: Role is newly created...

  • Chief Administrative Officer of Compliance Risk Management

    6 days ago

    New York, New York, United States Citigroup Inc Full time

    Overview: The Chief Administrative Officer (CAO) of Independent Compliance Risk Management (ICRM) at Citigroup Inc. plays a pivotal role in overseeing the administrative and operational functions of the compliance risk oversight framework. This position is integral to ensuring the firm’s compliance risk management is executed effectively and...

  • Compliance Officer

    1 month ago

    New York, United States Cardea Group Full time

    Compliance Officer (New York, NY): Our client, a global investment manager with over $30B in assets, has an exceptional opportunity for a mid-level compliance professional. This is an opportunity to report into the Chief Compliance Officer and oversee the US compliance program for the firm's private equity platform, while also collaborating with the credit...

  • Chief Operating Officer

    3 months ago

    New York, United States +MEDRITE Urgent Care Full time

    Company Description +MEDRITE Urgent Care, founded in 2010 in Brooklyn NY, is a rapidly growing healthcare organization that provides convenient and high-quality urgent care services to people of all ages. As an alternative to emergency rooms and primary care physicians, +MEDRITE offers walk-in appointments with board-certified physicians who provide...

  • Compliance Officer

    3 weeks ago

    New York, United States Cardea Group Full time

    Compliance Officer (New York, NY): Our client, a global investment manager with over $30B in assets, has an exceptional opportunity for a mid-level compliance professional. This is an opportunity to report into the Chief Compliance Officer and oversee the US compliance program for the firm's private equity platform, while also collaborating with the credit...

  • Chief Talent Officer

    1 week ago

    New York, United States Grand Street Settlement Full time

    TITLE:ChiefTalent Officer LOCATION:New York, NY (Lower EastSide) DEPARTMENT:Administration/Human Resources REPORTS TO:Chief Executive Officer (CEO) SALARY RANGE:$175,000 to $200,000 annually depending onexperience, plus excellent benefits DATE POSTED:July 2024 OUR CULTURE:At Grand St.we believeleaders are made, not born.We operate on auto trust,expecting...

Chief Compliance Officer

1 month ago

New York, United States Social Capital Resources Full time

Commercial Bank in Midtown, Manhattan is seeking a Chief Compliance/Risk Officer


RESPONSIBILITIES:

  • Responsible for leading corporate strategic and tactical legal and risk initiatives.
  • Oversees and directs Risk Management, Compliance, Bank Secrecy Act, Vendor Management and Security business units and all related management reporting.
  • Work directly with Current's bank partners on BSA/AML/OFAC matters
  • Assumes ultimate responsibility for ensuring that the company conducts its business risk and
  • compliance with applicable SEC, OCC et al. laws and regulations.
  • Structures and manages the company’s internal compliance, BSA, Vendor Management and
  • Security functions and staff.
  • Conduct product and program risk assessments to identify and mitigate BSA/AML/OFAC risks
  • Build and maintain an effective CDD/EDD risk rating and monitoring program to include initial and ongoing assessments and review and analysis of unusual/suspicious account activity
  • Support our ongoing promotion of a strong culture of compliance


ABOUT YOU:

  • 15+ years of experience in building and overseeing a compliance/risk function at a commercial or community bank
  • Pragmatic, solutions-oriented, and comfortable providing nuanced approaches with imperfect information and in the face of unclear regulatory expectations
  • A substantial understanding of consumer financial services with a preference for experience with a consumer financial technology company.
  • Expert-level understanding of key regulations (including the USA PATRIOT Act, Bank Secrecy Act, and OFAC requirements) and AML risks/typologies, as well as having the ability to identify emerging compliance trends and risks
  • Demonstrated success in achieving exceptional results as a team leader and across reporting lines
  • Strong communicator who is adept at building relationships with external partners as well as internal partners across operations, product, customer success, and risk
  • Compliance certifications (e.g., CAMS) strongly preferred