Current jobs related to Regulatory Oversight Specialist - New York, New York - CIBC

  • Regulatory Engagement Specialist

    7 days ago

    New York, New York, United States Mindlance Full time

    Job Title: HR Regulatory Engagement SpecialistThe Regulatory Engagement Specialist is part of the HR CAO Regulatory Engagement and Governance group. The Team is responsible for strengthening Client's culture to support risk management and control, credible challenge and collaboration, while also assessing staff resources, skill, and expertise to execute and...

  • Regulatory Engagement Specialist

    1 week ago

    New York, New York, United States Mindlance Full time

    Job Title:HR Regulatory Engagement SpecialistDuration: 06 Months + (High Possibilities of Extension/Conversion)Location:NYC, NY Hybrid, 3 days onsite)The Regulatory Engagement Specialist will be part of the HR CAO Regulatory Engagement and Governance group. The team is responsible for strengthening Client's culture to support risk management and control,...

  • Regulatory Engagement Specialist

    4 weeks ago

    New York, New York, United States Software Guidance and Assistance, Inc. Full time

    Regulatory Engagement SpecialistSoftware Guidance & Assistance, Inc. (SGA) is seeking a highly skilled Regulatory Engagement Specialist to join our team. As a key member of our organization, you will play a critical role in strengthening our firm's culture to support risk management and control, credible challenge, and collaboration.Key...

  • Quality and Regulatory Affairs Specialist

    3 weeks ago

    New York, New York, United States Mount Sinai Health System Full time

    Job DescriptionThe Mount Sinai Health System is seeking a highly skilled Quality and Regulatory Affairs Specialist to join our team. As a key member of our quality and regulatory team, you will play a critical role in ensuring the highest standards of quality and regulatory compliance across our healthcare system.Key ResponsibilitiesFacilitate and...

  • Senior Regulatory Affairs Specialist

    1 week ago

    New York, New York, United States Synchron LLC Full time

    About SynchronSynchron is a clinical-stage endovascular brain computer interface (BCI) company. Our mission is to develop a first-in-class commercial BCI for more than 100 million people worldwide with upper limb impairment. We are committed to bringing life-changing technologies to people.Job Title: Senior Regulatory Affairs SpecialistThe Senior Regulatory...

  • Compliance Director Business Oversight

    4 weeks ago

    New York, New York, United States TD Bank Full time

    Job SummaryWe are seeking a highly skilled Compliance Director Business Oversight to join our team at TD Bank. As a key member of our compliance team, you will be responsible for developing, implementing, and maintaining a regulatory compliance program that ensures our business operations are in line with applicable laws and regulations.Key...

  • Associate, Delegate Oversight Specialist

    4 weeks ago

    New York, New York, United States Oscar Health Full time

    Job Title: Associate, Delegate OversightWe are seeking a highly skilled Associate, Delegate Oversight to join our Compliance team at Oscar Health.About the RoleThe Associate, Delegate Oversight will support our compliance program and activities, ensuring understanding of healthcare regulatory requirements. You will assess business unit compliance to laws,...

  • Compliance Risk Oversight Specialist

    4 weeks ago

    New York, New York, United States Barclays Full time

    {"Job OverviewAs a key member of the Americas Chief Compliance Office team at Barclays, you will play a critical role in ensuring the firm's adherence to laws and regulations.Key Responsibilities* Provide expert oversight and challenge on business and compliance matters to ensure the organization is operating in compliance with Barclays' legal, regulatory,...

  • Director of Governance and Oversight

    2 weeks ago

    New York, New York, United States BNY Full time

    Director of Governance and OversightAt BNY, we're committed to empowering our employees to grow and succeed. As a leading global financial services company, we touch nearly 20% of the world's investible assets. Our 50,000+ employees bring their unique perspectives to the table to create solutions with our clients that benefit businesses, communities, and...

  • Client Onboarding and Regulatory Compliance Specialist

    5 days ago

    New York, New York, United States US Tech Solutions Full time

    Job OverviewUS Tech Solutions is seeking a highly skilled Client Onboarding and Regulatory Compliance Specialist to join our team in New York City. This role is part of our Client Onboarding and Regulatory Services (CORS) function within Shared Services Banking Operations.About the RoleAs a Client Onboarding and Regulatory Compliance Specialist, you will...

  • LRR Risk Oversight Specialist

    2 weeks ago

    New York, New York, United States Barclays Full time

    Job DescriptionJob Title: LRR Risk Oversight SpecialistLocation: New YorkJob Type: Full-timeJob SummaryWe are seeking a highly skilled LRR Risk Oversight Specialist to join our team at Barclays. The successful candidate will be responsible for defining the approach for managing Laws, Rules and Regulations (LRR) risk across the organisation, providing...

  • Regulatory Specialist

    2 weeks ago

    New York, New York, United States Weill Cornell Medical College Full time

    Job Title: Regulatory SpecialistWe are seeking a highly skilled Regulatory Specialist to join our team at Weill Cornell Medicine. As a key member of our clinical research team, you will be responsible for ensuring compliance with regulatory requirements and guidelines.Key Responsibilities:Coordinate all aspects of protocol submission for research...

  • Regulatory Compliance Specialist

    5 hours ago

    New York, New York, United States JCW Full time

    Senior Compliance OfficerAt JCW, we are seeking an experienced Senior Compliance Officer to join our team. As a key member of our regulatory compliance department, you will be responsible for ensuring our firm's compliance with SEC and FINRA requirements.Key Responsibilities:Regulatory Analysis: Conduct thorough analysis and provide recommendations on...

  • Risk Oversight Consultant

    4 weeks ago

    New York, New York, United States MassMutual Full time

    The OpportunityAs an Advisory Risk Oversight Consultant, you will play a critical role in managing investment policies for MassMutual's investment advisory programs, as well as related brokerage and insurance products and services. This position will be actively engaged in the construction and monitoring of investment policy guidelines and will provide...

  • LRR Risk Oversight Specialist

    2 weeks ago

    New York, New York, United States Barclays Full time

    Job SummaryAs a LRR Risk Oversight Specialist at Barclays, you will be responsible for defining the approach for managing Laws, Rules and Regulations (LRR) Risk across the organisation. This includes providing data-led expert oversight and check and challenge on LRR Risk Management to support adherence with applicable Laws, Rules and Regulations.Main...

  • Regulatory Compliance Specialist

    4 weeks ago

    New York, New York, United States Actalent Full time

    Job Title: Regulatory SpecialistActalent is seeking a highly skilled Regulatory Specialist to join our team. As a Regulatory Specialist, you will play a critical role in ensuring compliance with Federal Regulations, Good Clinical Practice (GCP), and Institutional policies.Key Responsibilities:Regulatory Compliance: Ensure compliance with Federal Regulations,...

  • Regulatory Affairs Specialist

    4 weeks ago

    New York, New York, United States Barrington James Full time

    Senior Regulatory Associate - Hybrid, NJ (2-3 days a week)Barrington James is partnering with a global commercial pharmaceutical company that is passionate about bringing generic drugs to market across multiple formulations and dosage forms. They are seeking an Associate Manager or Manager to join their team in a hybrid role based in New Jersey (2-3 days a...

  • Regulatory Legal Specialist

    5 hours ago

    New York, New York, United States Marks Sattin Full time

    Regulatory Legal SpecialistWe are seeking a skilled Regulatory Legal Specialist to join our high-growth consumer payments fintech team. As a key member of our Americas regulatory team, you will play a crucial role in driving innovation, launching cutting-edge products, and leading market expansion strategies.Key Responsibilities:Assist on all Americas...

  • Regulatory Reporting Specialist

    7 days ago

    New York, New York, United States Madison-Davis, LLC Full time

    Job Title: Regulatory Reporting SpecialistJob Summary:Madison-Davis, LLC is seeking a highly skilled Regulatory Reporting Specialist to join our team. The successful candidate will be responsible for preparing various regulatory reports, including the FRY 9C, FFIEC009/009a, Y9LP, FRY 11, FR2314, and TIC reports, as well as related supporting work papers and...

  • Healthcare Regulatory Specialist

    4 weeks ago

    New York, New York, United States Top Tier Reps LLC Full time

    Job OpportunityWe are seeking a highly motivated and detail-oriented individual to join our team as a Healthcare Regulatory Specialist. As a key member of our multidisciplinary practice, you will have the opportunity to work on a wide range of healthcare regulatory issues, including Medicaid policy and compliance.Key Responsibilities:Assist with transaction...

Regulatory Oversight Specialist

2 months ago

New York, New York, United States CIBC Full time
Job Summary

CIBC is seeking a highly skilled Regulatory Oversight Specialist to join our team. As a key member of our Global Markets division, you will be responsible for ensuring compliance with regulatory requirements and managing risk across our U.S. sales and trading desks.

Key Responsibilities
  • Develop and implement a robust supervisory program to reduce and manage regulatory risk
  • Collaborate with Compliance, Legal, and Internal Audit teams to ensure adherence to regulatory requirements
  • Manage surveillance metrics and tracking of regulatory reporting obligations
  • Provide specialized advice on transactional issues to trading floor personnel and Business Management
  • Escalate significant issues and material incidents of non-compliance to relevant stakeholders
  • Work with Compliance to analyze proposed/new rules and regulations and assess business impact
  • Assist Compliance in responding to regulatory inquiries, exams, and audits
  • Ensure employees responsible for trading securities are appropriately registered
  • Participate in industry committees and working groups
Requirements
  • Undergraduate degree
  • Minimum 10+ years experience in handling securities and OTC derivative/swap Equity (and preferably Equity Derivatives) compliance issues
  • Knowledge of SEC/FINRA/CFTC/NFA and other US-based regulatory rules
  • Ability to develop and maintain automated exception-based surveillance reports
  • Excellent relationship-building skills
  • Effective written/oral communication and presentation skills
  • Well-developed knowledge of trading practices and associated regulatory requirements
  • Ability to work in a challenging environment while exhibiting poise under severe conditions
  • Resourceful; creative problem-solving skills
  • Series 7, 57, 63 preferred
  • Good knowledge of MS Office (especially Excel), Bloomberg, Python or other languages
  • Ability to manage competing priorities
About CIBC

CIBC is a leading financial institution committed to helping our clients, employees, and shareholders achieve their goals. Our business culture is built on the values of Trust, Teamwork, and Accountability. We strive to create a work environment that is inclusive, diverse, and supportive of our employees' growth and development.