Control Room Compliance Lead - Banking & Research Conflicts
Societe Generale
A global investment bank is seeking a Compliance professional in New York, focusing on providing regulatory guidance and managing conflicts of interest within the Control Room. The ideal candidate will possess a robust understanding of U.S. securities laws and experience in compliance for research and capital markets activities. This role requires excellent communication and interpersonal skills, as well as the ability to multi-task in a fast-paced environment. A Bachelor's degree and a minimum of five years in the financial industry are essential. The position includes a competitive salary, benefits, and potential bonuses. #J-18808-Ljbffr Societe Generale
- ...Coastal Community Bank seeks an Assistant Controller to oversee daily accounting activities and ensure compliance with GAAP. You will manage staff, provide escalation support, and drive process improvements. This role requires a Bachelor’s in Accounting or Finance, with...SuggestedRemote work
- ...BitGo is looking for a professional to join their Control Room, focusing on managing compliance and internal policies. You will be responsible for maturing the control room function and assessing current controls to ensure organizational integrity. The ideal candidate...Suggested
$150k - $215k
...Metropolitan Commercial Bank ("MCB" or the "Bank") is a... ...Position summary: As the Compliance Ethics & Advisory Lead , you will be responsible... ...administer the bank's conflict of interest program; oversee... ..., enhancing regulatory controls, identifying, and assessing...SuggestedWork at officeLocal areaRemote work$123.5k - $208k
...Help strengthen the control environment that underpins critical stress testing outcomes.... ...end-to-end forecasting. As a Control Lead-VP within Wholesale Loan Loss Forecasting... ...and today we are a leader in investment banking, consumer and small business banking, commercial...Suggested$133k - $205k
...JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping... ...industry and/ or, experience with process, controls and governance of a highly regulated... ...and today we are a leader in investment banking, consumer and small business banking, commercial...Suggested$211.28k - $316.92k
Job Description The Senior Lead Counsel - Prime Finance is a senior... ...and assets, by driving compliance with applicable laws, rules and... ...escalating, managing and reporting control issues with transparency, as... ...in financial services. Banking or financial industry experience...Full time- Apollo Solutions is seeking a Lead Auditor in New York to manage end-to-end... ...involves assessing risks, evaluating control frameworks, and ensuring compliance with regulatory standards. Ideal... ...years of experience in audit, strong banking background, and relevant degrees....
$190k - $221.3k
The New York Times is seeking a Senior Compliance Auditor to lead comprehensive audit missions from planning to reporting. The ideal candidate... ...Economics and at least 7 years of audit experience in the banking sector, driving continuous improvements in audit quality....Remote work$165k - $185k
Overview VP Lead Auditor - Financial Controls and Regulatory Reporting Business type: Types of Jobs - General... ...works Verify the audited unit’s compliance with internal policies and procedures... ...comply with any escalation policy in the bank Manage and organize interviews,...Permanent employmentContract workLocal areaImmediate startWorldwide- ...based in New York is seeking a Controller to manage financial... ...financial reporting within the banking industry, and a strong knowledge... ...standards. Responsibilities include leading the financial close process,... ...with auditors, and ensuring compliance with regulatory requirements....
- ...often (in days) to receive an alert: The Lead Analyst, Finance - Risk & Treasury... ...liquidity management, cash flow forecasting, bank account management and financial... ...policies, procedures and internal controls. Ensure compliance with internal controls and Treasury policies...Temporary workWork experience placementWork at office
$142.5k - $210k
...Ontologist in Consumer & Community Banking's Data & Analytics team, you... ...projects, prioritize conflicting deadlines, and adapt to ambiguity... ...with financial industry controlled vocabularies and standards... ...technologies Chase is a leading financial services firm,...$128.25k - $199k
...JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping... ...best-in-class. As a Surveillance Lead (Surveillance Strategy) Vice President within... ...across the Corporate Investment Bank (CIB), Wealth Management and Asset Management...$160k - $175k
A leading banking institution is seeking a Senior Compliance Officer to support its consumer regulatory compliance functions. Based in New York, NY or Miami Lakes, FL, the role involves executing the Compliance Program, providing compliance resource expertise to business...Flexible hours- A leading consulting firm in New York is seeking a Cybersecurity Compliance Project Manager to lead compliance initiatives for a major banking client. The role requires experience in regulatory cybersecurity requirements, project management, and excellent communication...
- A global financial institution is seeking a Private Bank Supervisory Manager in Asset & Wealth Management to oversee compliance, manage high-risk escalations, and lead training efforts. Candidates should possess over 7 years in the securities industry and required licenses...
- An international consulting group in New York is seeking a Cybersecurity Compliance Project Manager to support a major banking client. You will lead critical compliance efforts, track program progress, and ensure regulatory adherence. Candidates should have 5-10 years of...
- ...Thrivent is looking for a Controller to manage financial reporting, lead accounting operations, and ensure compliance with GAAP and regulations. The ideal candidate should possess... ...integrity and controls at Thrivent Bank, contributing to strategic decision-making...
- Scotiabank - Global Banking and Markets in New York is seeking a Trade Floor Risk Manager to oversee the risks from the Metals Trading initiative and manage compliance with regulations. This role involves close collaboration with other product specialists and offers the...
$135k - $155k
...00.00/yr ABOUT THE ROLE As a Lead Fraud Analyst at Happy Money,... ...existing strategies effectively controlling risks due to first party and... ...fintech, lending, or digital banking environment. BENEFITS & PERKS... ...Audit Financial Crimes Compliance Analyst Charlotte, NC $170,00...Full timeTemporary workWork at office$207.9k
...Compliance Executive As the company's second line of defense, Corporate Risk - or Independent... ...across functions. Manage and lead team with the implementation of the companywide... ...opportunities for process improvement and risk control development Engage regularly with the...Work experience placement- ...someone like that who can: • lead or conduct reviews and audits... ...evaluate the effectiveness of controls designed to address those risks... ...be working in the Americas Compliance, Operational Risk Control (CORC... ...manager and the leading universal bank in Switzerland. We also...Flexible hours
$171k - $260k
...financial services, including banking, leasing, securities, credit... ...Description Advise business unit leads on standards and practices... ...for monitoring compliance with data standards to inform... ..., integration tools, quality controls, and data management strategies...Work at officeLocal areaWork from homeWorldwide- ...Lead Credit Risk Manager - Vice President As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm... ...compliance. Manage ongoing communication with bank group members as well as with other team...
$150k - $163k
...network Trusted partnerships with leading real estate companies, government entities, fintechs, banks, and employers Through our... ...Role The Consumer and Payments Compliance Lead is responsible for... ...flows remain compliant, well‑controlled, and aligned with industry best...Work experience placementRemote work$150k - $250k
...the AI-native private bank for business owners . We... ...software that directly controls how money moves at scale... ...re hiring a Recruiting Lead to own hiring across... ...networks, and targeted research Screen for signal: judgment... ...— AI, underwriting, compliance, and global finance from...Immediate startRemote workFlexible hours- ...A growing commercial bank in the NYC market is hiring a Compliance Ethics & Advisory Lead. This is a highly visible role reporting directly to the CCO, focused on... ...leadership. Key areas include: • Ethics & conflicts of interest oversight • Consumer compliance advisory...
- ...Framework Ventures in the United States is seeking a Senior Internal Controls & Compliance Specialist to drive the implementation of compliance frameworks and safeguard against financial crime. This role demands expertise in KYC/KYB and collaboration across teams. The...
- ...We're building the world's leading cross-border fintech for emerging... ...into a massive shift - from banks to phones - bringing digital... ...global structuring, planning, compliance oversight, and launch... ...effectively. * Work closely with Control and market teams through launch...Local areaShift work
$92.22k - $149.31k
...-level leader within the U.S. Compliance Audit function, providing specialized... ....). The Audit Manager II will lead or serve as Auditor-In-Charge... ...effectiveness focused on TD Bank's US Operational Risk... ...Memorandum (APM), Process Risk and Control Matrix (pRCM), Findings Grid and...Work at officeLocal areaWork from homeFlexible hours
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Control Room Compliance Lead - Banking & Research Conflicts. Be the first to apply!
- regulatory affairs intern New York, NY
- compliance audit New York, NY
- dea compliance New York, NY
- regulatory compliance remote New York, NY
- entry level regulatory affairs New York, NY
- vp compliance New York, NY
- director quality assurance regulatory affairs New York, NY
- regulatory compliance engineer New York, NY
- pharmaceutical regulatory affairs New York, NY
- securities compliance examiner New York, NY


