NewSenior Compliance Officer – CIB Credit Compliance, TD Securities TD BankSenior Compliance Officer – CIB Credit Compliance, TD SecuritiesNew York, New YorkCIB Credit Compliance plays an important control and oversight role within TD Securities’ Corporate and Investment Banking (CIB) Credit function, supporting deal setup, covenant monitoring, compliance reporting, exception management, and audit/regulatory readiness across the global corporate lending portfolio. The successful candidate will be part of the CIB Credit Compliance team and will be responsible for: Deal Setup and Compliance Intake – receive and review new deal forms, credit agreements, and related documentation to identify reporting covenants and compliance requirements needed for deal setup and ongoing monitoring.
Senior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US) TD BankSenior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US)New York, New YorkTotal Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions.
NewCompliance Analyst - Mutual Funds Neuberger Berman Group LLCCompliance Analyst - Mutual FundsNew York, NY$80,000–$110,000 / yearAn employee's pay position within the salary range will be based on several factors including, but limited to, relevant education, qualifications, certifications, experience, skills, seniority, geographic location, business sector, performance, shift, travel requirements, sales or revenue-based metrics, market benchmarking data, any collective bargaining agreements, and business or organizational needs. Assist in the administration of compliance programs adopted pursuant to Rule 38a-1 of the Investment Company Act and Rule 206(4)-7 of the Investment Advisers Act; assist the Chief Compliance Officer - Registered Funds with the implementation of the programs, related quarterly and annual assessments, preparation of reports and summaries.
Financial crime compliance Manager Capgemini SEFinancial crime compliance ManagerNew York, NY$125,000–$140,000 / yearIt delivers end-to-end services and solutions leveraging strengths from strategy and design to engineering, all fueled by its market leading capabilities in AI, generative AI, cloud and data, combined with its deep industry expertise and partner ecosystem. Important Notice: Compensation (including bonuses, commissions, or other forms of incentive pay) is not considered earned, vested, or payable until it becomes due under the terms of applicable plans or agreements and is subject to Capgemini's discretion, consistent with applicable laws.
Compliance & Operational Risk Manager - Global Markets Bank of America CorpCompliance & Operational Risk Manager - Global MarketsNew York, NY$97,200–$195,000 / yearKeep abreast of regulatory change/developmentsRequired Qualifications:Minimum of seven years of relevant experienceMay require regulatory examination/registration or certification, depending on jurisdiction and roleStrong knowledge of fixed income markets, including swaps/derivatives products and servicesExcellent inter-personal and communication skills, including strong verbal and written communications, and be a strong and confident presenter High attention to detail, diligence and conscientiousness Ability to work in a dynamic and fast-paced trading floor environmentDesired Qualifications:Bachelor's Degree in a related fieldExperience in financial services and/or a similarly regulated sectorStrong experience in dealing with regulator and exchange inquiries and examsStrong understanding of market misconduct laws, rules and regulations, as well as applicable surveillance controlsStrong understanding of SEC, FINRA and CFTC rules and regulationsOperational Risk Management preferably with fixed income product knowledge experience is advantageousSkills:AdvisoryMonitoring, Surveillance, and TestingRegulatory ComplianceReportingRisk ManagementCritical ThinkingInfluenceInterpret Relevant Laws, Rules, and RegulationsIssue ManagementPolicies, Procedures, and Guidelines ManagementCredible ChallengeDecision MakingNegotiationProcess ManagementWritten CommunicationsShift:1st shift (United States of America)Hours Per Week: 40 Learn more about this role Apply × To proceed with your application, you must be at least 18 years of age. We provide industry-leading benefits, access to paid time off, resources and support to our employees so they can make a genuine impact and contribute to the sustainable growth of our business and the communities we serve Share: Save job Job saved.
Environmental, Health, Safety & Transportation Compliance Specialist Triumvirate EnvironmentalEnvironmental, Health, Safety & Transportation Compliance SpecialistSomerset, NJ$80,000–$100,000 / yearTriumvirate Environmental serves leading organizations in higher education, life sciences, healthcare, and advanced manufacturing, providing diverse services and expertise to meet their compliance needs. Manage regulatory permit renewals, inspections, and reporting requirements, coordinating with Corporate Compliance and Operations to ensure transportation permits and vehicle permit books are current and properly maintained.
Environmental, Health, Safety & Transportation Compliance Specialist Triumvirate Environmental IncEnvironmental, Health, Safety & Transportation Compliance SpecialistSomerset, NJ$80,000–$100,000 / yearTriumvirate Environmental serves leading organizations in higher education, life sciences, healthcare, and advanced manufacturing, providing diverse services and expertise to meet their compliance needs. Manage regulatory permit renewals, inspections, and reporting requirements, coordinating with Corporate Compliance and Operations to ensure transportation permits and vehicle permit books are current and properly maintained.
Director, Bank & Prudential Regulatory Compliance The Bank of New York Mellon CorpDirector, Bank & Prudential Regulatory ComplianceNew York, NY$130,000–$211,500 / yearSupporting with the identification and management of issues, developing and overseeing remediation plans to ensure resolution efforts proceed timely and effectively; Advising, guiding and providing credible challenge to business lines and corporate functions in cooperation with Business Compliance Officers; Providing expert opinion on the impact of applicable regulations to the design and implementation of key corporate initiatives, products, and services; Participating in the development and execution of the BNYs Compliance risk assessment and Compliance testing routines; Drive the performance of regular compliance testing across the above referenced regulations. In this role, youll make an impact in the following ways: Lead implementation and recommend enhancements to BNYs Compliance frameworks, programs, and policies related to key safety and soundness regulations including, but not limited to FRB regulations K, O, R, W, Y and the Volcker Rule; Support with the development of the regulatory process to identify, implement and assess ongoing compliance for global market and credit risk related regulation.
Compliance Officer Sixth Street Specialty Lending IncCompliance OfficerNew York, NY$175,000–$200,000 / yearOur firm is designed for cross-platform collaboration at scale: we build businesses, invest for growth, acquire assets, provide direct financing, identify value in public markets, purchase royalty streams, and regularly develop first-of-their-kind structures to meet the strategic objectives of management teams. The Compliance Officer will also drive key compliance-related projects and initiatives, including those pertaining to Sixth Street's Global Capital Markets platform, compliance testing, training, regulatory filings, and designing, implementing and advising on policies and procedures.
ED, Regional Compliance Officer (Northeast) Morgan StanleyED, Regional Compliance Officer (Northeast)Purchase, NY$165,000–$275,000 / yeargifts, non-cash compensation, outside business activities, trading, etc.); > Ability to challenge the Business where there is a potential for regulatory or reputational risk; > The ideal candidate will be proactive, have strong verbal and written communications skills, and the ability to prioritize and handle multiple tasks in a fast-paced environment; > Ability to analyze data and identify and escalate key trends, patterns, and root causes; > Evidence strong leadership capabilities or previous supervisory experience; > Ability to work within a team and act independently; > Relevant Wealth Management Business experience; > Proven ability to interact with Financial Advisors and Branch staff in a professional and productive manner; > Excellent judgment and the ability to be discreet in all matters; > Bachelor's Degree required; > Preference for FINRA SIE, Series 7, 9/10, 24, and/or 65/66. What you'll do in the role: > Provide Compliance guidance and advice to Regional Management and Market management on Firm and regulatory policies and procedures; > Participate in senior Compliance management meetings as well as meetings and coordination with senior business leaders in Wealth Management; > Collaborate with Regional Management on high-risk matters identified within the Region (e.g., sales practice issues, conduct matters, outside business activities, and recruits); > Engage with senior stakeholders in Field Management on various issues, including conduct-related matters, policy enhancements, and supervisory functions.
Deputy Chief Global Compliance Officer New York UniversityDeputy Chief Global Compliance OfficerNew York, New York$275,000–$325,000 / yearWorking under the strategic direction of the Chief Global Compliance Officer (CGCO), the Deputy CGCO operationalizes the program's vision, provides day-to-day administrative oversight to the University’s compliance efforts, and ensures adherence with international, federal, state, and local laws, as well as University policies and procedures. Collaborate with the University’s Office of Internal Audit and Enterprise Risk Management (IA & ERM) in executing the day-to-day workflows of the Annual Institutional Risk Assessment process, specifically managing collaborative multi-SME panel reviews and assessments across priority compliance risk areas.
Compliance Manager, Foreight Trade Zone (FTZ) DSV Air & Sea Inc.Compliance Manager, Foreight Trade Zone (FTZ)Iselin, NJ$75,000–$111,000 / yearRead more at www.dsv.comLocation: USA - Iselin, Wood AveDivision:Group Job Posting Title: Compliance Manager, Foreign Trade Zone (FTZ) Time Type: Full TimeFTZ Compliance ManagerSummaryThe FTZ Compliance Manager is responsible for ensuring regulatory compliance and internal control integrity for Foreign-Trade Zone (FTZ) operations, including distribution and production environments. This role leads FTZ compliance programs, supports FTZ activations and production authorities, oversees FTZ ICRS system compliance, and monitors ongoing operational adherence to U.S. Customs and Border Protection (CBP) and FTZ Board requirements.
Vice President, Senior Compliance Manager - Regulatory Counsel Antares CapitalVice President, Senior Compliance Manager - Regulatory CounselNew York, NY$200,000–$230,000 / yearThe successful candidate will help advance the firm's compliance framework by: (1) Providing thoughtful, practical guidance on the application of global regulations, evolving industry developments, and best practices in support of our private credit strategy and fund structures and the general growth of the firm's asset management transactional activities; (2) Interpreting and operationalizing compliance policies and procedures to align with the firm's existing and newly developing products and business activities and the firm's expanding jurisdictional reach; (3) Leading and coordinating the implementation of new regulatory requirements and enhancements to existing frameworks; and (4) Partnering cross-functionally to represent Compliance in enterprise-wide initiatives, while supporting day-to-day matters and broader program oversight. Strategic thinking and decision making: Applies strong business and market insight and expertise to shape functional/team strategy, solves complex problems, recommends best practices, makes high quality decisions, anticipates future needs and delivers stakeholder aligned value.
Senior Associate, Technology Compliance And Emerging Risk Consulting RSMSenior Associate, Technology Compliance And Emerging Risk ConsultingNew York, NY$77,700–$146,900 / yearThe Technology Compliance & Emerging Risk Senior Associate will be an integral team member, assisting with planning engagements, conducting fieldwork, supporting compliance assessments, preparing documentation, and delivering high-quality client outputs. If you are a recent U.S. college / university graduate possessing 1-2 years of progressive and relevant work experience in a same or similar role to the one for which you are applying, excluding internships, you may be eligible for hire as an experienced associate.
Data Regulatory & Privacy Law Associate Attorney Percy TowersData Regulatory & Privacy Law Associate AttorneyNew York City, New YorkFounded on the principle of integrating high-stakes litigation with proactive advisory services, the firm provides a sophisticated platform for attorneys to engage with Fortune 100 giants and emerging tech disruptors. PPL PL8RS is proud to represent an elite global powerhouse in their search for a sophisticated legal practitioner to join a world-class team in support of a fast-growing merging legal market!
Director - Compliance Consulting Willis Towers Watson PLCDirector - Compliance ConsultingNew York, NY$95,000–$165,000 / yearWTW provides a competitive benefit package which includes the following (eligibility requirements apply): Health and Welfare: Mental health/emotional wellbeing (including Employee Assistance Program), medical (including prescription drug coverage and fertility benefits), dental, vision, Health Savings Account, Commuter Accounts, Health Care and Dependent Care Flexible Spending Accounts, company-paid life insurance, supplemental life insurance, AD&D, group accident, group critical illness, group legal, identity theft protection, wellbeing program, adoption assistance, surrogacy assistance, auto/home insurance, pet insurance, and other work/life resources. Please note that base salaries may vary for different individuals in the same role based on several factors, including but not limited to location of the role, individual competencies, education/professional certifications, qualifications/experience, performance in the role and potential for revenue generation.
Director, ACO Compliance Sound Inpatient Physicians Holdings, LLCDirector, ACO ComplianceNY$110,000–$130,000 / yearCategorySelectAccountable Care OrgAccounting & PayrollAdvisory ServicesAnesthesiologyBusiness DevelopmentClinical LeadershipClinical SupportComplianceCritical CareEmergency MedicineHospital MedicineInformation TechnologyMedical DirectorNursingPeople TeamPost Acute / Transitional CareSite AdministrationTelemedicine. The Director oversees compliance auditing, monitoring, education, investigations, risk assessments, reporting, and corrective action activities while ensuring alignment with applicable federal and state laws, CMS regulations, OIG guidance, value-based care requirements, and organizational policies.
Associate Director, Compliance Business Partner (Pharmaceuticals) Veloxis Pharmaceuticals, IncAssociate Director, Compliance Business Partner (Pharmaceuticals)New York, New York$160,000–$175,000Our purpose is to transform transplant medicine as the primary partner to the community of transplant healthcare providers and their patients; our focus is in developing new therapies and programs to help transplant healthcare providers and the patients they treat. This role serves as a trusted advisor to assigned business functions, providing strategic and operational leadership across core compliance activities, including guidance and advisory support, training, monitoring, policy governance, investigations support, and issue resolution.
Compliance Manager - Trust and Fiduciary Citizens Financial Group IncCompliance Manager - Trust and FiduciaryStamford, CT$97,000–$122,000 / yearJob Duties: Develop and implement strategies that are necessary to minimize the risk of noncompliance and support team in assistance with implementation through effective communication and project management. At Citizens, we are committed to fostering an inclusive culture that enables all colleagues to bring their best selves to work every day and everyone is expected to be treated with respect and professionalism.
Lead Auditor, Vice President - Regulatory Compliance Credit Agricole SALead Auditor, Vice President - Regulatory ComplianceNEW YORK, NY$150,000–$185,000 / yearSummary The Lead Auditor conducts audit assignments primarily in 2nd line corporate regulatory compliance from planning to issuance of the final report. Key ResponsibilitiesII - Conduct of assignmentThe Lead Auditor conducts audit assignments from planning to issuance of the final report.