Compliance Operations Director Amneal Pharmaceuticals IncCompliance Operations DirectorBridgewater, NJ$190,000–$230,000 / yearSpecialized Knowledge: Working knowledge of various laws, regulations and industry guidance that affect Amneal's Corporate Compliance Program (e.g., OIG Compliance Program Guidance for Pharmaceutical Manufacturers, PhRMA Code on Interactions with Healthcare Providers, industry guidance documents, CIA trends, regulations regarding the promotion of marketed products, Open Payments and the False Claims Act and Anti-Kickback Statutes). The successful candidate will lead key operational aspects of Amneal''s Compliance program, including managing our global third-party due diligence program, maintaining and updating all Amneal Compliance policies and SOPs, managing and developing the Amneal Compliance training program, and managing and coordinating Amneal''s Compliance monitoring program.
Quantitative AI and Data Analyst - Executive Director Morgan StanleyQuantitative AI and Data Analyst - Executive DirectorNew York, New YorkThe team has a global footprint across New York, London and Hong Kong, and Mumbai and works closely with a variety of business lines in Institutional Equities and Fixed Income trading, Prime Brokerage, Securities Lending and Fund Services, as well as the Finance and Risk Divisions of the firm. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries.
GMDA ITD Business Analyst - Regulatory Team MUFG Americas Holdings CorpGMDA ITD Business Analyst - Regulatory TeamNew York, NY$80,000–$95,000 / yearAdditionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. Interface with Regulatory bodies (DTCC) to identify potential gaps and ensure compliance including any short/long term requirement which may impact internal Regulatory Reporting System file feeds and architecture.
Global Markets Risk Manager Bank of America CorpGlobal Markets Risk ManagerNew York, NY$110,000–$158,000 / yearKey responsibilities include analysis of model risk, analysis and reporting of market risk, distributing the market risk reports, and interfacing with the trading desk and other risk and support groups (i.e., Compliance, Finance, Operations, etc.).Responsibilities:Identifies and monitors market risk exposure and develops mitigation strategies and resolutions in accordance with the bank's risk appetite and risk limits identified, as well as regulatory requirements, as applicableManages risk requests, breach remediations and providing risk effective challenges for front line unitsSets managing risk parameters and guardrails for market risk, while ensuring adherence to risk appetite and limits, and actively designing risk scenarios to implement decisionsDevelops market risk coverage plans, oversees execution of monitoring, testing and risk assessments, conducts analysis and develops market risk reporting for specific products and communicates changes to senior managementLiaisons with businesses to understand market trends and impacts on portfolio, using knowledge of stress testing and its applicability to market riskEnsures adherence to the policies and procedures established by the companyRole Overview:Global Markets Risk is seeking a highly analytical and motivated professional to join the team responsible for independent market risk oversight of the Global Mortgages & Securitized Products (GMSP) business. Skills:Analytical ThinkingCritical ThinkingPortfolio AnalysisRisk AnalyticsData and Trend AnalysisDecision MakingOral CommunicationsPresentation SkillsWritten CommunicationsActive ListeningIssue ManagementMonitoring, Surveillance, and TestingRegulatory ComplianceTechnical DocumentationShift: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.
Medicare Compliance & QA Associate Spark AdvisorsMedicare Compliance & QA AssociateNew York City, NY$60,000–$70,000 / yearSpark is hiring an Associate, Medicare Compliance & Quality Assurance responsible for supporting the organization's compliance operations by managing case intake, tracking case progress, facilitating communication between carriers and agents, and assisting with agent coaching. We're the fastest-growing Medicare platform in the country, combining AI, an industry-leading CRM, and client services to transform how 10,000+ brokers acquire, enroll, and support clients in their local communities.
Vice President, Compliance - Monitoring & Testing, TD Securities (US) The Toronto-Dominion BankVice President, Compliance - Monitoring & Testing, TD Securities (US)New York, NY$150,000–$180,000 / yearTotal 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. General Job Description: The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk.
AVP, Compliance Control Room Wedbush SecuritiesAVP, Compliance Control RoomNew York, NY$48–$57 / hourWe are currently seeking an AVP, Compliance Control Room, who will oversee controls designed to mitigate conflicts of interest, protect confidential information, and preserve the integrity of the firm’s information barriers. Act as the gatekeeper and chaperone with respect to permitted conversations between the restricted groups of employees and potential compliance issues arising out of monitored interactions.
Broker/Dealer Compliance, Associate Blue Owl Capital IncBroker/Dealer Compliance, AssociateNJ$100,000–$115,000 / yearAnchored by a strong permanent capital base, we provide businesses with private capital solutions to drive long-term growth and offer institutional investors, individual investors, and insurance companies differentiated alternative investment opportunities that aim to deliver strong performance, risk-adjusted returns, and capital preservation. Blue Owl Capital is seeking a compliance professional to join the team responsible for managing the Compliance program for the firm's broker-dealer affiliate, Blue Owl Securities LLC.
Associate Director, Regulatory Compliance Cohen & SteersAssociate Director, Regulatory ComplianceNew York, NY$130,000–$150,000 / yearWill be responsible for the administration and implementation of the regulatory compliance programs of the Cohen & Steers investment advisers and registered investment companies pursuant to Rule 38a-1 of the Investment Company Act of 1940 and Rule 206(4)-7 of the Investment Advisers Act as well as other regulatory requirements. Complete reviews of compliance policies and procedures including those related to the compliance programs under Rule 38a-1 of the Investment Company Act of 1940, Rule 206(4)-7 of the Investment Advisers Act and the rules associated with a FINRA registered limited purpose broker-dealer.
Broker/Dealer Compliance, Associate Blue Owl Capital HoldingsBroker/Dealer Compliance, AssociateShort Hills, New JerseyAnchored by a strong permanent capital base, we provide businesses with private capital solutions to drive long-term growth and offer institutional investors, individual investors, and insurance companies differentiated alternative investment opportunities that aim to deliver strong performance, risk-adjusted returns, and capital preservation. Blue Owl Capital is seeking a compliance professional to join the team responsible for managing the Compliance program for the firm’s broker-dealer affiliate, Blue Owl Securities LLC.
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.
Head Of Growth, Scheme Compliance AdyenHead Of Growth, Scheme ComplianceNew York, NY$195,000–$263,000 / yearYou will lead a globally distributed team who unlock new products, markets, local payment methods, and partner models by designing compliant operating models, accelerating launches, and building scalable solutions in close collaboration with Product and Engineering. As Head of Growth for Scheme Compliance, you will act as a key bridge between compliance and product, translating regulatory, scheme, and partner requirements into systems, frameworks, and tooling that enable speed without compromising control, and help shape how Adyen approaches new and emerging payment models globally.
Monitoring & Surveillance Compliance Officer (Vice President) Credit Agricole SAMonitoring & Surveillance Compliance Officer (Vice President)NEW YORK, NY$135,000–$165,000 / yearKey Responsibilities:Review and handle communications alerts and pertinent data to assess potential violations of laws, rules, regulations and the Firm's policiesDirect the Monitoring & Surveillance review team, ensuring effective risk identification, escalation, and resolution. Key Internal contacts:All business units;IT Department;Legal department;Audit department;Risk departments; andOperations departments.
Head of Growth, Scheme Compliance Adyen NVHead of Growth, Scheme ComplianceNew York, NY$195,000–$263,000 / yearYou will lead a globally distributed team who unlock new products, markets, local payment methods, and partner models by designing compliant operating models, accelerating launches, and building scalable solutions in close collaboration with Product and Engineering. As Head of Growth for Scheme Compliance, you will act as a key bridge between compliance and product, translating regulatory, scheme, and partner requirements into systems, frameworks, and tooling that enable speed without compromising control, and help shape how Adyen approaches new and emerging payment models globally.
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.
Associate Director – Financial Services, New York or Toronto S&P GlobalAssociate Director – Financial Services, New York or TorontoNew York, New YorkAt S&P Global Ratings, our analyst-driven credit ratings, research, and sustainable finance opinions provide critical insights that are essential to translating complexity into clarity so market participants can uncover opportunities and make decisions with conviction. Conduct detailed research and advanced analysis on complex industry topics, including capital frameworks, operational risk, and liquidity risk, producing credit insights, peer comparisons, and industry commentaries.
Senior Research Analyst Neuberger Berman Group LLCSenior Research AnalystNew York, NY$170,000–$220,000 / 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. Primary Responsibilities: Evaluate new investments: Perform in-depth due diligence including credit analysis, research and financial modeling as well as assessing documentation issues with the legal department and determining relative value.
CSRM Physician - Senior Principal Scientist, Drug Safety Merck & Co IncCSRM Physician - Senior Principal Scientist, Drug SafetyRahway, NJ$282,200–$444,200 / yearThe CSRM Physician works closely with cross-functional team members including those from clinical development, epidemiology, regulatory affairs, statistics, and manufacturing to manage safety topics under evaluation to ensure efforts are aligned to meet global pharmacovigilance and risk management strategies for assigned products. The CSRM Physician prepares safety summaries and analyses of safety related data for regulatory documents, aggregate reports, and summaries in support of regulatory filings and may supervise the activities of CSRM medical associates in the execution of safety data analysis and authoring of regulatory documents.
Vice President, Portfolio Management (Commercial and Industrial Upper Middle Market- East or Central Region) KeyCorpVice President, Portfolio Management (Commercial and Industrial Upper Middle Market- East or Central Region)New York, NY$96,000–$181,000 / yearAdditionally, the VP, Portfolio Management is responsible for ongoing credit monitoring and risk rating for a portfolio of corporate clients with a complexity profile commensurate to experience (primarily participation in other bank's syndicated deals with a small number of Left Lead deals), reviewing legal documentation, and assisting product partners in cross-selling additional bank products. Gather and analyze all relevant financial data for, often high value, clients or prospects, including spreading financial statements and/or collaborating with third party vendor to ensure accuracy of financial spreads statements, analyzing historical performance, accurately calculating credit metrics, identifying risks and mitigants, and assessing creditworthiness, etc.
Family Office Resources (For) - Analyst/Associate Morgan StanleyFamily Office Resources (For) - Analyst/AssociateNew York, NY$70,000–$115,000 / yearOur values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. expansion, and adoption of FOR capabilities, with a focus on Philanthropy and Family Governance & Wealth Education, Coordinate with FOR leadership and subject-matter experts, Legal, Compliance, Marketing, and other internal and external partners on capability-development initiatives.