Control Group Compliance Officer

**Responsibilities**: - Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM. - Providing guidance on rules and regulations relating to Research operational issues, as well as, providing transactional approvals and interpretations of internal compliance policies. This...

Primary responsibilities include management of the New Jersey based Control Room team, overseeing day-to-day operations and effective implementation of controls to mitigate insider dealing risk, providing Compliance advice and guidance related to associated regulation and internal policies, as well as contributing to the development of Global Control Room...

he Role: Compliance Officer – Control Room                                                          The Team: Control Room is part of the Compliance Monitoring and Exams part of S&P Global Ratings Compliance.  Its members apply standardized monitoring and surveillance protocols to help mitigate...

he Role: Compliance Officer – Control Room                                                          The Team: Control Room is part of the Compliance Monitoring and Exams part of S&P Global Ratings Compliance.  Its members apply standardized monitoring and surveillance protocols to help mitigate...

**JOB DESCRIPTION** Lead a proactive risk and control culture as the Executive Director of Control Management within Corporate Controls covering the Compliance Risk Assessment Program. Join JP Morgan as a Corporate Controls Control Manager at the Executive Director level and be part of a team that ensures strong and consistent controls are observed across...

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Compliance Independent Assessment (CIA) team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing risk assessments of Citi's compliance risks; performing independent...

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Testing team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing risk assessments of Citi's compliance risks; performing independent testing activities (testing and on-going...

**About Kushner Real Estate Group** **Summary** The Controller will be responsible for the financial planning for the company along with accounting responsibilities for both the company and our partners. Primary responsibilities include supervision of monthly closing process, billing, accounts receivable and accounts payable, assisting in preparation of...

SMBC 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 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group,...

SMBC 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 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group,...

The anticipated salary range for this role is between $65,000.00 and $85,000.00. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current compensation paid in their geography and the market for similar roles at the time of hire. The role may also be eligible for an annual...

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team is...

Growing Clearing Broker Dealer is seeking a strong surveillance candidate to join their compliance team as a Risk Compliance Officer. Hybrid in *EITHER* Jersey City, NJ or Dallas, TXQualifications:10+ years of Compliance and Risk experience.Specific knowledge of Institutional Trading, Consolidated Audit Trail, Securities Lending, and Prime Brokerage...

Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk...

Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk...

**Job Summary** **What is the opportunity?**: **GRM Risk & Controls Group is accountable for leading the control management & control evaluation (design and operating effectiveness) center of expertise for select stakeholders across RBC and its US material legal entities, with a particular focus on GRM and Corporate Functions owned controls.**: **The role...

**Job Summary** **What is the opportunity?**: **GRM Risk & Controls Group is accountable for leading the control management & control evaluation (design and operating effectiveness) center of expertise for select stakeholders across RBC and its US material legal entities, with a particular focus on GRM and Corporate Functions owned controls.**: **The role...

The Control Room, part of the Compliance Division, is seeking a compliance officer for a role in Salt lake City. This is one of seven Goldman Sachs Control Rooms globally (including New York City, London, Bengaluru, Hong Kong, Tokyo, and Sydney). The Compliance, Control Room, Associate, Control, Investment, Research, Manufacturing

**Job Summary** Provide ongoing support related to compliance advisory coverage and monitoring of various banking activities for compliance with key regulations issued by City National Bank’s (“CNB”), primary U.S. based prudential regulators (“Prudential Regulations”), including Regulations W, O and regulations related to investments across...

**SUMMARY**:Opportunity Markeng Group, Inc. (OMG) a professional services consulting firm, is seeking a Labor Compliance Program Assistant. This posion will support various consulting projects within the public works and federal contracting arena. The Labor Compliance Assistant is responsible for providing overall support to the Labor Compliance Managers for...