NewSenior Manager, Network Compliance Capital One Financial CorpSenior Manager, Network ComplianceNew York, NY$193,800–$221,200 / yearThe Network Compliance Senior Manager is a critical member of the team responsible for delivering effective challenge and compliance advice for business processes worldwide, as well as serving as a subject matter expert to ensure the development of the network compliance program at Capital One aligns with the company's broader enterprise risk management framework. Collaborate with first and second line functions to analyze the existing risk management program framework and applicability to the network and merchant services business; educate and influence risk management colleagues and senior leaders with respect to nuanced or specialized considerations, as necessary.
Macro Compliance Associate Point72, L.P.Macro Compliance AssociateStamford, CTThe Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing and enforcing the firm's compliance policies, providing real-time advice, and conducting pre- and post-trade surveillance. Provide advice and guidance to the Global Macro business covering rates, foreign exchange, emerging markets, credit, asset-backed securities, and macro derivatives strategies.
Director, CIB & Research Compliance - ECM & M&A (New York City, NY, US, 10281) The Bank of Nova ScotiaDirector, CIB & Research Compliance - ECM & M&A (New York City, NY, US, 10281)New York City, NY$185,400–$310,600 / yearThe CIB & Research Compliance team provides day-to-day Compliance oversight, advice, training and monitoring for the CIB, Leveraged Finance, M&A, Equity Capital Markets (ECM), Debt Capital Markets (DCM), Government Finance, Global Loan Syndication (GLS), Securitization, Structured Credit, Mortgage Capital Markets (MCM), Commercial Real Estate Finance (CREF) and Equity Research businesses. Familiarity with applicable Federal and State banking and securities laws, including SEC and FINRA regulations governing public and private offerings of equity and debt securities as well as requirements related to Equity Research (e.g., SEC 10b-5, Rule 14e5, securities offering regulations (`33 Act), FINRA Rule 2241 and the Global Research Settlement & information barriers)), as well as Federal Reserve Bank Regulations relating to corporate lending activities.
Principal Trade Compliance Specialist Global FoundriesPrincipal Trade Compliance SpecialistNew York, NY$84,000–$144,000 / yearAbout GlobalFoundries: GlobalFoundries is a leading full-service semiconductor foundry providing a unique combination of design, development, and fabrication services to some of the world's most inspired technology companies. This role plays a critical part in developing and maintaining export compliance programs, supporting internal stakeholders, and safeguarding export‑controlled data across the organization.
NewEnvironmental Permitting & Compliance Specialist Sims MetalEnvironmental Permitting & Compliance SpecialistJersey City, NJSupport the Permitting & Compliance (P&C) team across assigned portions of the Metro Region, working closely with national P&C management, regional leadership, and environmental legal counsel. To achieve our purpose to create a world without waste to preserve our planet, we are guided by our Principles of Purpose: Be Safe + Well, Band Together, Be Accountable + Transparent, Consistently Innovate, Inspire with Purpose, Celebrate + Have Fun.
NewExecutive Director – Prime Brokerage & Equities Compliance Wells Fargo BankExecutive Director – Prime Brokerage & Equities ComplianceNew York, New YorkDeep expertise in broker-dealer compliance frameworks with a strong focus on Equities Finance activities, including Knowledge of rules and regulations applicable to short sales, securities lending, portfolio margining, listed options position limits, Large Options Position Reporting, electronic blue sheets, Regulation T, and SEC Rule 15c3-3. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions.
VP Compliance - Trade Surveillance, Fixed Income TD BankVP Compliance - Trade Surveillance, Fixed IncomeNew 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. Preferred Qualifications: The TD Securities US Compliance team is looking for a Vice President candidate to join the trade surveillance team, specializing in and possessing broad knowledge in Fixed Income, Commodities, Options and Futures products.
NewLegal & Compliance Department-L3 Suspicious Activity Reporting (SAR) Associate Bank of ChinaLegal & Compliance Department-L3 Suspicious Activity Reporting (SAR) AssociateNew York, New York$42,000–$90,000 / yearFull timeThe L3 QC Analyst (AVP) is also responsible for assisting other tasks, which may include assisting with Currency Transaction Reports (“CTR”), system testing (UAT) and/or various anti-money laundering (AML) initiatives; communication of apparent anomalies and prioritizing investigative work to ensure all deadlines are met. Monitor AML/BSA industry developments, including red flags and best practices, and maintains advanced knowledge of new and amended laws and regulations impacting the bank, and ensures processes are in place to keep the team or compliance department (as applicable) updated on such developments.
NewLegal & Compliance Department-L3 Suspicious Activity Reporting (SAR) Associate Bank of China Limited, New York BranchLegal & Compliance Department-L3 Suspicious Activity Reporting (SAR) AssociateNew York, New York$42,000–$90,000 / yearFull timeThe L3 QC Analyst (AVP) is also responsible for assisting other tasks, which may include assisting with Currency Transaction Reports (“CTR”), system testing (UAT) and/or various anti-money laundering (AML) initiatives; communication of apparent anomalies and prioritizing investigative work to ensure all deadlines are met. Monitor AML/BSA industry developments, including red flags and best practices, and maintains advanced knowledge of new and amended laws and regulations impacting the bank, and ensures processes are in place to keep the team or compliance department (as applicable) updated on such developments.
Senior Corporate Compliance Coordinator - Risk Navigation and Advisory Services Regeneron Pharmaceuticals IncSenior Corporate Compliance Coordinator - Risk Navigation and Advisory ServicesSleepy Hollow, NY$30.24–$47.36 / hourReporting to the Senior Director, Corporate Compliance, this role supports the broader Risk Navigation and Advisory Services team within the Corporate Compliance department, by providing day-to-day operational and administrative support, and contributing substantively to project-based compliance initiatives. Crafting high-quality presentations, communications and visual materials using relevant Microsoft applications (i.e., Word, Excel, PowerPoint) and other tools to support compliance training, leadership updates, and client communications.
Senior Compliance Investigator Centene Corporation GroupSenior Compliance InvestigatorNJ$70,100–$126,200 / yearLeads and conducts compliance and ethics investigations across all business units and health plans, including but not limited to assessment of allegations, review of relevant documents, witness interviews, analysis of facts, root cause analysis, and preparation of investigation reports with recommended remedial or disciplinary actions. Education/Experience: A Bachelor's Degree in Related Field or Associates with 5 years of applicable experience, or a High School/GED with 6 years of applicable experience may substitute for the Bachelor's Degree, required.
Compliance Representative FirstEnergy CorpCompliance RepresentativeNewark, NJHeadquartered in Akron, Ohio, FirstEnergy includes one of the nation''s largest investor-owned electric systems, more than 24,500 miles of transmission lines that connect the Midwest and Mid-Atlantic regions, and a regulated generating fleet with a total capacity of 3,780 megawatts. We are a forward-thinking electric utility powered by a diverse team of employees committed to making customers' lives brighter, the environment better and our communities stronger.
Business Aligned Compliance Executive Director The Depository Trust & Clearing CorpBusiness Aligned Compliance Executive DirectorJersey City, NJWorking in partnership with Compliance Risk Assessment and Testing, monitor key inherently high-risk compliance requirements and the design and effectiveness of the processes, controls, and metrics within DTCC Businesses related to compliance with regulatory requirements (e.g. The function maintains a centralized inventory of regulatory requirements for DTCC Businesses, facilitates mapping of those requirements to controls and conducts monitoring and testing to validate the controls are fit for purpose and adhered to.
Director, Corporate Compliance Atlantic Health System IncDirector, Corporate ComplianceMorristown, NJProvide, from a compliance perspective, oversight of organizational-wide privacy including, without limitation: (i) (a) HIPAA Privacy and Breach Notification Rules compliance; and (b) applicable State privacy law pertaining to patient information, employee information, and protected personally identifiable information, as well as applicable Federal and State privacy breach notification rules compliance; (ii) data breach determinations and follow up; (iii) investigations; (iv) risk assessment and analysis; (v) internal and external reporting; (vi) HIPAA training framework and program; (vii) the management and monitoring of business associate agreements and associated processes; and (viii) digital privacy compliance-related matters. Develop and perform focused audit-related activities including, without limitation, the conduct of compliance reviews, the assessment of existing internal controls, and the performance of gap analyses, concerning organizational risk areas (whether such risks are predefined by regulation or regulatory guidance, or identified through organizational experience) for legal and regulatory compliance.
Senior Manager - Compliance, AI & Data Strategy Fidelity National Information Services IncSenior Manager - Compliance, AI & Data StrategyNew York, NY$119,560–$200,840 / yearRun the compliance data and systems Testing & Monitoring function, including design and execution of test plans, test script automation, data integrity assessments, issue identification, remediation tracking, and reporting to Compliance leadership. Proficiency with compliance monitoring systems, data platforms, and dashboarding tools such as Databricks, Snowflake, Tableau, PowerBI, and related database and cloud technologies preferred; familiarity with model risk management frameworks a plus.
Compliance Specialist Senior Wealth Management City National BankCompliance Specialist Senior Wealth ManagementNew York, New YorkRemote$85,000–$145,000 / yearFull timeFunctions as an internal consultant to colleagues throughout City National Bank (CNB) related to operational compliance issues and concerns, utilizing their internal and external organizational agility to ascertain and deliver sound interpretation and advice. Working knowledge of OCC Retail Non-Deposit Investment Products (RNDIP), Regulation R, associated investment products and services including associated ERISA compliance requirements.
Senior Manager, Investigations, Diligence, and Compliance - Specialist Kroll, LLCSenior Manager, Investigations, Diligence, and Compliance - SpecialistNew York, NY$90,000–$200,000 / yearPlan and manage a broad range of complex investigations, litigation support, regulatory compliance, source of wealth, asset recovery cases, including business intelligence, internal (client) investigations, insider risk compliance assessments, consulting projects and forensic matters, with the support of Kroll's expert resources. A key interest in crypto business strategy, global events and markets, with an awareness of working across different cultural and political environments, is essential due to the range of cases that will be handled across various industry-sectors.
Associate Director of Compliance, Special Services Democracy Prep Public SchoolsAssociate Director of Compliance, Special ServicesNew York, NY$115,000–$130,000 / yearThis role serves as a key member of the Special Services Team and is responsible for building, maintaining, and monitoring the systems that ensure all schools meet legal and regulatory requirements for Students with Disabilities (SWDs) and Multilingual Learners (MLLs). This role does not directly manage staff but exercises leadership through expertise, systems ownership, and strong partnership with school-based leaders.
Financial Crime Compliance Specialist Klarna Bank ABFinancial Crime Compliance SpecialistNew York, NY$120,450–$151,093 / yearAs Klarna evolves its AML operating model, you will initially contribute hands-on to critical regulatory activities and progressively shift towards analytical oversight of control design, effectiveness, and outcomes across products and markets. You will apply sound regulatory judgement across key AML activities, including review and approval of Suspicious Activity Reports under MLRO delegation, while partnering closely with AML Operations, MLROs, and senior Compliance stakeholders.
Insurance Licensing Compliance Coordinator Hub International InsuranceInsurance Licensing Compliance CoordinatorBerkeley Heights, New Jersey$45,000–$55,000 / yearDisclosure required under applicable state or municipality regulations: The expected salary range for this position is $45,000 - $55,000 and will be impacted by factors such as the successful candidate’s skills, experience and working location, as well as the specific position’s business line, scope and level. Process new & renewal licensing applications for employees, business entities, managing general agencies, risk purchasing groups, third party administrators and other required licensed entities.