analyst-compliance -procedure & project management analyst – policy & standards enforcement Jobs in New York

analyst-compliance -procedure & project management analyst – policy & standards enforcement

compliance governance & operations manager (us) - management reporting Jobs in New York

compliance governance & operations manager (us) - management reporting

compliance officer, investment management, new york (ny, us) Jobs in New York

compliance officer, investment management, new york (ny, us)

contracts manager

custom cabinet operations manager Jobs in New York

custom cabinet operations manager

compliance manager

Excel Global Solutions

Qualifications -<ul><li>Bachelor's degree required; advanced degree strongly preferred</li><li>5-7 years of progressive compliance experience with increasing responsibility</li><li>Comprehensive regulatory knowledge spanning both traditional finance (TradeFi) and cryptocurrency/digital asset regulations globally</li><li>Proven ability to manage multiple priorities and meet regulatory deadlines</li><li>Experience working with regulatory authorities and audit firms</li></ul>Job Type: Full-timePay: $140,000.00 - $185,000.00 per yearBenefits:<ul><li>Dental insurance</li><li>Health insurance</li><li>Relocation assistance</li><li>Vision insurance</li></ul>Application Question(s):<ul><li>Are you a US citizen? If yes, please provide:</li></ul>1) your salary expectations per year: 2) notice period: 3) do you require relocation assistance: <ul><li>Screening Question: Do you have experience with Crypto?</li><li>Screening Question: Do you have experience with global finance?</li><li>Why are you a good fit to work in a start up environment and do you have experience coming from and growing a start up?</li></ul>Work Location: In person

Regulatory Compliance Manager (Startup)

TD Bank

<div>Work Location:
New York, New York, United States of America
Hours:
40
Pay Details:
$119,600 - $178,880 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
Line of Business:
Compliance
Job Description:
Why Work with Us?
At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact &ndash; both in day-to-day operations and in the design of a future-focused compliance program. This not just about implementing a new program &ndash; it's about creating a culture of compliance that will cascade throughout the organization. 
The Ideal Candidate
The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank&rsquo;s size, complexity, and risk profile. In this role, you&rsquo;ll need to be strategic, tactical, collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future. 
Beyond technical expertise, we&rsquo;re looking for someone with an entrepreneurial mindset&mdash;someone who can &quot;roll up their sleeves&quot;, takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure. 
Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you&rsquo;ll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards.
Position Summary:
TD Bank is seeking a Manager to assist with preparing executive content for senior management and board reports to compliance and risk stakeholders. Key reports include an annual CCO report, quarterly board reports, and periodic reports to enterprise risk. The role requires analytical skills, excellent business writing skills, and strong executive communication skills to interact with senior compliance and risk stakeholders.
<div>Key Responsibilities:
 
<ul><li>Draft content for board reporting, with clear messaging on data insights from banking and securities regulation, key compliance metrics, and regulatory remediation.
</li><li>Ability to synthesize and aggregate large quantities of data into multiple senior management and executive reports, streamline content, and maintain consistency between reports.
</li><li>Coordinate across multiple stakeholders and effectively challenge the quality of compliance and risk data insights.
</li><li>Conduct training to Compliance Units on drafting insights on regulatory risks, high and overdue issues, and other compliance metrics.
</li><li>Provide support as needed on other compliance reporting including risk dashboards and risk frameworks.
</li><li>Make sure latest regulatory expectations and supervisory feedback are incorporated into compliance reporting.
</li></ul></div>The above details are specific to the role which is outlined in the general description below. Please review the Desired Skills and Experience section below as you consider this opportunity.
Our team currently operates under a hybrid work model, with employees expected to work in the office two days per week. Starting in November 2025, this expectation will increase to four days per week. Please note that, due to limited office space, the exact timing of this transition may vary depending on availability and individual circumstances.
The Compliance Governance &amp; Operations Manager leads the development and implementation (or lead support) of enterprise Compliance programs, including frameworks, policies, standards and development of procedures, awareness and specialized training, monitoring, reporting and information, escalation of issues and events.
Depth &amp; Scope:
<ul><li>Highly seasoned professional role requiring substantial knowledge/expertise in a complex field and knowledge of broader related areas
</li><li>Integrates knowledge of the enterprise sub-function&rsquo;s or business line&rsquo;s overarching strategy in developing solutions across multiple functions or operations
</li><li>Interprets internal/external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or services
</li><li>Acts as a technical expert/lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialists
</li><li>Leads cross-functional teams or projects with significant resource requirements, risk and/or complexity
</li><li>Independently manages end-to-end functional programs
</li><li>Uses sophisticated analytical thought to exercise judgement and identify solutions
</li><li>Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions
</li><li>Impacts the achievement of sub-function or business line objectives within the area they are accountable for
</li><li>Work is guided by policies and industry standards/methods
</li><li>Communicates difficult concepts; converts information to compelling business context and advice; influences and gains alignment across increasingly senior stakeholders
</li><li>Works autonomously as the lead and guides others within area of expertise
</li></ul>Education &amp; Experience:
<ul><li>Undergraduate degree or equivalent work experience
</li><li>7+ years of experience
</li></ul>Preferred Skills:
<ul><li>Minimum of 8 years of experience in Compliance, Risk Management, Audit, or a related compliance role.
</li><li>Strong executive writing skills for senior audiences focused on messaging, clarity, and precision.
</li><li>Proficiency in Microsoft Office Suite - especially Microsoft PowerPoint, Excel, Word, and Visio.
</li><li>Strong stakeholder management skills across different Compliance groups to drive high-quality and accurate reporting insights.
</li><li>Strong analytical and communication skills with the ability to escalate and articulate risks to senior leadership.
</li><li>Exceptional attention to detail, organizational skills, and critical thinking skills.
</li><li>Familiarity with data visualization tools including PowerBI and Tableau a plus
</li></ul>Customer Accountabilities:
<ul><li>Works with Compliance partners and other related groups (such as Legal and Risk) to support creation of documentation and reports required by external regulatory bodies and TD internal groups
</li><li>Leads development of team procedures and governance processes and advises the Compliance stakeholders and teams of changes and enhancements to enterprise Compliance programs and requirements and where they may impact in the organization
</li><li>Provides governance oversight through management of the policy and training exemption governance and reporting processes to the Compliance Senior Executive Team (and related Compliance Sub-Committees)
</li><li>Assists Compliance team members in the use of Issues and Events system for tracking and reporting
</li><li>Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of the Compliance program
</li><li>Represents CGO as a specialist on internal or external committees as well as on enterprise-wide Regulatory Change Management initiative, as required
</li><li>Delivers relevant subject matter expertise and Compliance advice to business Compliance partners
</li><li>Interacts with control functions within the organization
</li><li>Conducts meaningful research, analysis, and assessment of Compliance program activities at the functional level using results to draw conclusions, make recommendations, assess the effectiveness of enterprise Compliance programs
</li><li>Participates in/manages regulatory examinations and external/internal audits with respect to request for information regarding CGO portfolio; reviewing, packaging and providing information for department executive
</li></ul>Shareholder Accountabilities:
<ul><li>Adheres to enterprise frameworks and methodologies that relate to activities for our business area
</li><li>Makes sure respective programs/policies/practices are well managed, meets business needs, complies with internal and external requirements, and aligns with business priorities
</li><li>Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
</li><li>Manages business operations to be in compliance with applicable internal and external requirements (e.g. financial controls, segregation of duties, transaction approvals and physical control of assets)
</li><li>Participates in cross-functional/enterprise/initiatives as a subject matter expert helping to identify risk/provide guidance for complex situations
</li><li>Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
</li><li>Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices
</li><li>Monitors service, productivity and assesses efficiency levels within own function and implements continuous process/performance improvements where opportunities exists
</li><li>Leads/facilitates and/or implements actions/remediation plans to address performance/risk/governance issues
</li><li>Actively manages relationships within and across various business lines, corporate and/or control functions and manages alignment with enterprise and/or regulatory requirements
</li><li>Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
</li><li>Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
</li></ul>Employee/Team Accountabilities:
<ul><li>Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues/points of interest
</li><li>Supports the team by continuously enhancing knowledge/expertise in own area and participates in knowledge transfer within the team and business unit
</li><li>Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
</li><li>Participates in personal performance management and development activities, including cross training within own team
</li><li>Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
</li><li>Contributes to the success of the team by willingly assisting others in the completion and performance of work activities; provides training, coaching and/or guidance as appropriate
</li><li>Contributes to a fair, positive and equitable environment that supports a diverse workforce
</li><li>Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
</li></ul>Physical Requirements:
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
<ul><li>Domestic Travel &ndash; Occasional
</li><li>International Travel &ndash; Never
</li><li>Performing sedentary work &ndash; Continuous
</li><li>Performing multiple tasks &ndash; Continuous
</li><li>Operating standard office equipment - Continuous
</li><li>Responding quickly to sounds &ndash; Occasional
</li><li>Sitting &ndash; Continuous
</li><li>Standing &ndash; Occasional
</li><li>Walking &ndash; Occasional
</li><li>Moving safely in confined spaces &ndash; Occasional
</li><li>Lifting/Carrying (under 25 lbs.) &ndash; Occasional
</li><li>Lifting/Carrying (over 25 lbs.) &ndash; Never
</li><li>Squatting &ndash; Occasional
</li><li>Bending &ndash; Occasional
</li><li>Kneeling &ndash; Never
</li><li>Crawling &ndash; Never
</li><li>Climbing &ndash; Never
</li><li>Reaching overhead &ndash; Never
</li><li>Reaching forward &ndash; Occasional
</li><li>Pushing &ndash; Never
</li><li>Pulling &ndash; Never
</li><li>Twisting &ndash; Never
</li><li>Concentrating for long periods of time &ndash; Continuous
</li><li>Applying common sense to deal with problems involving standardized situations &ndash; Continuous
</li><li>Reading, writing and comprehending instructions &ndash; Continuous
</li><li>Adding, subtracting, multiplying and dividing &ndash; Continuous
</li></ul>The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities &amp; duties are considered essential functions for ADA purposes.
#LI_AMCBCorporate
Who We Are:
 
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you&rsquo;ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we&rsquo;re here to support you towards your goals. As an organization, we keep growing &ndash; and so will you.
Our Total Rewards Package 
 
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total 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. Learn more
Additional Information:
 
We&rsquo;re delighted that you&rsquo;re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we&rsquo;re committed to providing the support our colleagues need to thrive both at work and at home.
 
 
Colleague Development
 
If you&rsquo;re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You&rsquo;ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD &ndash; and we&rsquo;re committed to helping you identify opportunities that support your goals.
 
 
Training &amp; Onboarding
 
We will provide training and onboarding sessions to ensure that you&rsquo;ve got everything you need to succeed in your new role.
 
 
Interview Process
 
We&rsquo;ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
Accommodation
TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com . Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.</div>

Compliance Governance & Operations Manager (US) - Management Reporting

American Express

<div>At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career.
Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express.
How will you make an impact in this role?
Global Compliance and Ethics (GCE), is responsible for establishing and maintaining a robust compliance program that ensures American Express is adhering to laws, regulations, and internal policies while fostering a culture of integrity and effective second line independent Compliance oversight.
The Manager, Compliance Risk Assessment Program, supports the development, governance, and operationalization of the enterprise Compliance Risk Assessment (CRA) framework. Operating within the 2nd Line of Defense (2LOD), this role is responsible for supporting the programmatic oversight of CRA activities and ensuring 2LOD assessments are performed consistently and in alignment with compliance and enterprise risk assessment standards.
This position does not conduct business-level CRA execution but serves as a key liaison between 2LOD Compliance Risk Management and Compliance officers.
Key Responsibilities:
<ul><li>Support the implementation and continuous improvement of the CRA methodology and supporting procedures.
</li><li>Maintain documentation, templates, and job aids used by business compliance teams.
</li><li>Facilitate CRA-related communications, including training sessions, guidance documents, and forums.
</li><li>Track CRA execution status across 2LOD and escalate delays or inconsistencies.
</li><li>Analyze CRA submissions to identify thematic risks, trends, and opportunities for challenge.
</li><li>Assist in the preparation of executive reports and risk summaries for governance committees.
</li><li>Participate in the evaluation of CRA tooling and system enhancements.
</li><li>Support regulatory, audit, and testing reviews related to the CRA process.
</li></ul>Minimum Qualifications:
<ul><li>Bachelor&rsquo;s and/or master&rsquo;s degree in finance, law, business, or a related field.
</li><li>5&ndash;7 years of experience in Compliance, Risk, Audit, or related field in financial services.
</li><li>Foundational understanding of risk assessment principles, regulatory compliance, and internal control frameworks.
</li><li>Highly organized with strong attention to detail and problem-solving skills.
</li><li>Strong written and verbal communication capabilities.
</li><li>Excellent understanding of compliance risk management frameworks and the three lines of defense model.
</li><li>Professional experience in handling Risk Assessments and clear understanding of inherent risk, residual risk and control effectiveness principles.
</li><li>Strong leadership and interpersonal skills with the ability to influence and collaborate with people at all levels of the organization.
</li><li>Exceptional problem-solving, analytical, and decision-making skills, with the ability to balance business objectives with regulatory requirements.
</li><li>Excellent project management and organizational skill, with the ability to manage multiple priorities in a fast-paced environment while maintaining attention to detail.
</li><li>Ability to both work independently and collaboratively with team-members and to navigate a complex organization
</li><li>Excellent verbal and written communication skills for preparing and delivering reports, presentations, and policy documents.
</li><li>Experience in delivering high quality work products, reflecting attention to detail.
</li><li>Must be a self-starter flexible, innovative, and adaptive.
</li><li>Advanced analytics, PowerPoint and excel skills with an ability to learn new tools quickly.
</li></ul>Preferred Qualifications
<ul><li>Master&rsquo;s degree or relevant certifications (e.g., CAMS, CRCM) are a plus.
</li><li>Experience supporting enterprise programs or control testing is preferred.
</li></ul>Currently, the Company does not have a physical location in the Charlotte, NC metropolitan area and, therefore, if you reside in the Charlotte, NC metropolitan area the role will temporarily be deemed virtual under the Company&rsquo;s applicable policy (the Amex Flex Policy). We anticipate securing a physical office location in the Charlotte, NC metropolitan area in the future. Once that occurs, you will be notified that your position will be converted to hybrid and you will be required to work in the office in accordance with the applicable Amex Flex Policy (currently under the Amex Flex Policy, hybrid colleagues are required to work from the office a minimum of 3 days per week). You understand and agree that changing your role to hybrid designation and/or requiring you work from the office in accordance with the Company&rsquo;s applicable Amex Flex Policy will not deem you eligible for separation pay under the Company&rsquo;s applicable severance pay plans.
Salary Range: $90,000.00 to $165,000.00 annually + bonus + benefits
The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we&rsquo;ll consider your location, experience, and other job-related factors.
We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally:
<ul><li>Competitive base salaries
</li><li>Bonus incentives
</li><li>6% Company Match on retirement savings plan
</li><li>Free financial coaching and financial well-being support
</li><li>Comprehensive medical, dental, vision, life insurance, and disability benefits
</li><li>Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need
</li><li>20+ weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy
</li><li>Free access to global on-site wellness centers staffed with nurses and doctors (depending on location)
</li><li>Free and confidential counseling support through our Healthy Minds program
</li><li>Career development and training opportunities
</li></ul>For a full list of Team Amex benefits, visit our Colleague Benefits Site .
American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles&rsquo; Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions.
We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually.
US Job Seekers - Click to view the &ldquo; Know Your Rights &rdquo; poster. If the link does not work, you may access the poster by copying and pasting the following URL in a new browser window: https://www.eeoc.gov/poster
Employment eligibility to work with American Express in the U.S. is required as the company will not pursue visa sponsorship for these positions.</div>

Manager-Compliance Risk Assessment

Swiss Re

<div><div><div>Location: New York, NY, US

</div></div><div><div>Looking to advance your career as a Compliance Officer and join a growing investment management business? This is a fantastic opportunity to join a great company and gain exposure across a variety of financial activities and markets!
About the Role
Join a Compliance team that supports Swiss Re's investment advisory and broker-dealer businesses, using your technical expertise, understanding of regulation and a strategic mindset to aid in the design, execution and leadership of a compliance program that meets applicable regulatory requirements.
Key responsibilities include:<ul><li>
Owning the strategic design and oversight of the compliance program for an SEC-registered investment advisor</li><li>
Providing independent and authoritative advice and guidance on requirements to internal partners</li><li>
Acting as a trusted advisor on high-level strategic matters
</li><li>Reporting to management and other stakeholders on compliance risks, issues, and incidents</li><li>
Managing regulatory relationships and leading engagements, including exams and inquiries</li><li>
Monitoring global law and regulation impacting the advisor, including the Investment Advisers Act of 1940</li><li>
Building strong relationships and representing compliance perspectives in senior-level discussions</li></ul>
About the Team
Our team provides advice and support to the groups at Swiss Re conducting financial markets activities, including an SEC-registered investment advisor and FINRA broker-dealer. We collaborate with one another and work closely with our business partners in a constructive environment, seeking to empower success while achieving effective compliance risk mitigation. Individual growth and career development is important to us.
About You
You have a law degree and at least 5-7 years' experience as a compliance officer, preferably with at least 3 years' experience with an SEC-registered investment advisory firm. You are a proven leader who is comfortable and effective in management level settings. You collaborate well in a team environment while also thriving with independent assignments. High attention to detail and strong organization skills set you apart from others and contribute to your success. You are inquisitive and engaging with superior communications skills. You bring strong judgment, executive presence, and the ability to influence and align stakeholders across the organization.
Other Essentials:<ul><li>
Must have experience with compliance programs that fall under the Investment Advisers Act of 1940</li><li>
Possess expert knowledge and proficiency with advisory products and investment structures</li><li>
Strong analytical skills and the ability to assess complex issues.</li><li>
Proficient in MS Office products such as Outlook, Excel, Word, Power Point</li></ul>
Our company uses a hybrid work model requiring a minimum of three days in the office each week, with the option to work onsite full-time if preferred. This position is only located in our New York City office and is not eligible for full-time telework.
The estimated base salary range for this position is $124,000 to $186,000. The specific salary offered for this or any given role will take into account a number of factors including but not limited to job location, scope of role, qualifications, complexity/specialization/scarcity of talent, experience, education, and employer budget. At Swiss Re, we take a &quot;total compensation approach&quot; when making compensation decisions. This means that we consider all components of compensation in their totality (such as base pay, short-and long-term incentives, and benefits offered), in setting individual compensation.<div>
About Swiss Re<div>
Swiss Re is one of the world&rsquo;s leading providers of reinsurance, insurance and other forms of insurance-based risk transfer, working to make the world more resilient. We anticipate and manage a wide variety of risks, from natural catastrophes and climate change to cybercrime. Combining experience with creative thinking and cutting-edge expertise, we create new opportunities and solutions for our clients. This is possible thanks to the collaboration of more than 14,000 employees across the world. 
 
Our success depends on our ability to build an inclusive culture encouraging fresh perspectives and innovative thinking. We embrace a workplace where everyone has equal opportunities to thrive and develop professionally regardless of their age, gender, race, ethnicity, gender identity and/or expression, sexual orientation, physical or mental ability, skillset, thought or other characteristics. In our inclusive and flexible environment everyone can bring their authentic selves to work and their passion for sustainability. 
 
If you are an experienced professional returning to the workforce after a career break, we encourage you to apply for open positions that match your skills and experience.</div></div><div>
Keywords: 
Reference Code: 135241</div></div></div></div>

Compliance Officer, Investment Management, New York (NY, US)

Ascendion

<div><div>About Ascendion
Ascendion is a full-service digital engineering solutions company. We make and manage software platforms and products that power growth and deliver captivating experiences to consumers and employees. Our engineering, cloud, data, experience design, and talent solution capabilities accelerate transformation and impact for enterprise clients. Headquartered in New Jersey, our workforce of 11,000+ Ascenders delivers solutions from around the globe. Ascendion is built differently to engineer the next.
Ascendion | Engineering to elevate life
We have a culture built on opportunity, inclusion, and a spirit of partnership. Come, change the world with us:
<ul><li>Build the coolest tech for world&rsquo;s leading brands
</li><li>Solve complex problems &ndash; and learn new skills
</li><li>Experience the power of transforming digital engineering for Fortune 500 clients
</li><li>Master your craft with leading training programs and hands-on experience
</li></ul>Experience a community of change makers!
Join a culture of high-performing innovators with endless ideas and a passion for tech. Our culture is the fabric of our company, and it is what makes us unique and diverse. The way we share ideas, learning, experiences, successes, and joy allows everyone to be their best at Ascendion.
About the Role:
<ul><li>As a Project Manager within Legal &amp; Compliance Operations (LCO) team, you will lead initiatives to integrate AI-driven solutions, strengthen automation adoption, and enhance governance structures to align with legal and regulatory programs.
</li><li>This role requires a proactive, product-oriented mindset, coupled with robust cross-functional leadership and project governance skills.
</li><li>The ideal candidate thrives at the intersection of operations, technology, and compliance, and can communicate effectively with technical and non-technical stakeholders.
</li></ul>Job Title : Public Policy Manager V
Key Responsibilities:
<ul><li>Identify and implement automation opportunities across LCO workflows, applying a product-centric mindset to operational challenges.
</li><li>Manage automation and AI projects end-to-end, including roadmap development, milestone tracking, risk mitigation, and communication with leadership and stakeholders.
</li><li>Drive adoption of automation and AI across LCO by partnering with Product, Engineering, and LCO lines of business to build and deploy low-code/no-code automation tools.
</li><li>Set and monitor key performance indicators (KPIs), track ROI, and drive continuous improvement based on operational data and strategic goals.
</li><li>Use data visualization and analysis to tell compelling stories that influence decision-making.
</li><li>Proactively identify and address risks, roadblocks, and dependencies across cross-functional teams, escalating issues as needed to prevent blockers.
</li><li>Maintain comprehensive documentation, including project plans, opportunity trackers, and repositories of action items, to ensure transparency and program success.
</li></ul>Minimum Qualifications:
<ul><li>Bachelor&rsquo;s Degree and 8+ years of relevant experience working in consulting, strategy, operations or equivalent program management experience.
</li><li>Experience with the Legal, Public Policy, or Regulatory domains, including audit, control/safeguard management, and a baseline understanding of legal and regulatory risks in the tech industry.
</li><li>Proven experience implementing automation and AI-driven initiatives in operational workflows and/or compliance.
</li><li>Strong understanding of AI capabilities and their practical application within Operations.
</li><li>Proven stakeholder management skills, with experience building productive relationships across multiple teams.
</li><li>Demonstrated critical thinking skills with the ability to leverage data to anticipate challenges, unblock issues, and inform decision-making.
</li><li>Excellent communication skills, both verbal and written, with experience creating effective executive-level presentations.
</li><li>Experience with data analysis tools such as SQL, Tableau, or similar.
</li><li>Experience with project management methodologies and tools.
</li></ul>Preferred Qualifications:
<ul><li>Advanced understanding of AI/ML and Generative AI applications.
</li><li>Basic coding and scripting skills (e.g.: Python or JavaScript) to support prototyping, workflow automation, and effective collaboration with technical teams.
</li><li>Six Sigma or other process automation certification.
</li><li>FAANG or big tech background.
</li></ul>Location: New York, NY or Washington, DC [Onsite]
Salary Range: The salary for this position is between $166,400 &ndash; $215,904 annually. Factors which may affect pay within this range may include geography/market, skills, education, experience, and other qualifications of the successful candidate.
Benefits : The Company offers the following benefits for this position, subject to applicable eligibility requirements: [medical insurance] [dental insurance] [vision insurance] [401(k) retirement plan] [long-term disability insurance] [short-term disability insurance] [5 personal days accrued each calendar year. The Paid time off benefits meet the paid sick and safe time laws that pertains to the City/ State] [10-15 days of paid vacation time] [6 paid holidays and 1 floating holiday per calendar year] [Ascendion Learning Management System]
Want to change the world? Let us know.
Tell us about your experiences, education, and ambitions. Bring your knowledge, unique viewpoint, and creativity to the table. Let&rsquo;s talk!</div></div><div></div>
 <div><div><h4 class="jobSectionHeader">Preferred Skills
</h4><div><div>Public Policy
<ul><li><div>Program Management
</div></li><li><div>Project Management
</div></li><li><div>Stakeholder Management
</div></li><li><div>Legal/Compliance
</div></li><li><div>Regulatory
</div></li><li><div>Operations Management
</div></li></ul></div></div></div><div><h4 class="jobSectionHeader">Job details
</h4><div><div><h6 class="jobSectionHeader">Job ID
</h6>331226
</div><div><h6 class="jobSectionHeader">Job Requirements
</h6>Public Policy Manager V
</div><div><h6 class="jobSectionHeader">Location
</h6>New York, New York, US
</div><div><h6 class="jobSectionHeader">Recruiter
</h6>Chirag
</div><div><h6 class="jobSectionHeader">Email
</h6>chirag.balani@ascendion.com
</div></div></div><div><h4 class="jobSectionHeader">About Ascendion
</h4><div><h6 class="jobSectionHeader">Ascendion is a full-service digital engineering solutions company. We make and manage software platforms and products that power growth and deliver captivating experiences to consumers and employees.
</h6>Our engineering, cloud, data, experience design, and talent solution capabilities accelerate transformation and impact for enterprise clients. Headquartered in New Jersey, our workforce of 6,000+ Ascenders delivers solutions from around the globe. Ascendion is built differently to engineer the next.</div></div></div>

Public Policy Manager V

Tradeweb

<div>Company Description
 
Tradeweb is a global leader in electronic trading for rates, credit, equities, and money markets. As financial markets become increasingly interconnected, our technology enables efficient, multi-asset trading on a global scale. We serve more than 3,000 clients in more than 85 countries, including many of the world&rsquo;s largest banks, asset managers, hedge funds, insurers, corporations, and wealth managers.
Creative collaboration and sharp client focus have helped fuel our organic growth. We facilitated average daily trading volume (ADV) of more than $2.2 trillion over the past four fiscal quarters, topping $2.5 trillion in ADV for the first quarter of 2025.
Since our IPO in 2019, Tradeweb has completed four acquisitions and doubled our revenues &ndash; and 2024 was our 25th consecutive year of record revenues.
Tradeweb is a great place to work, recognized in 2024 by Forbes as one of America&rsquo;s Best Companies (2024) and by U.S. News &amp; World Report as one of the Best Financial Services Companies to Work For .
Tradeweb Markets LLC (&quot;Tradeweb&quot;) is proud to be an EEO Minorities/Females/Protected Veterans/Disabled/Affirmative Action Employer.
Mission: Move first and never stop. Collaborate with clients to create and build solutions that drive efficiency, connectivity, and transparency in electronic trading. 
Group Details
Tradeweb is seeking a mid-to-senior level Compliance Officer with deep expertise in data privacy, privacy by design, and AI governance to lead the organization&rsquo;s efforts in embedding privacy and ethical AI practices across business operations. This role will champion compliance with global privacy laws (e.g., GDPR, CCPA), drive privacy by design in product and process development, and guide responsible adoption of AI technologies. The ideal candidate is a proactive advisor who can integrate privacy considerations into the entire data lifecycle&mdash;ensuring regulatory alignment and ethical standards in AI use cases. 
Job Responsibilities
Privacy and Data Protection
<ul><li>Serve as a subject matter expert on global data protection frameworks (GDPR, CCPA, ePrivacy, LGPD, etc.) and monitor emerging legislation.
</li><li>Embed privacy by design and by default principles into systems, processes, and new initiatives.
</li><li>Lead and advise on Data Protection Impact Assessments (DPIAs) and risk assessments for emerging technologies.
</li><li>Review and draft data-sharing agreements, privacy notices, consent frameworks, and cross-border transfer mechanisms.
</li><li>Oversee data subject rights request processes and coordinate effective incident response planning.
</li><li>Partner with technology teams to establish privacy engineering controls and implement robust technical and organizational safeguards.
</li><li>Advise on data retention, minimization, and destruction practices in line with regulatory requirements.
</li></ul>AI Governance
<ul><li>Collaborate with Business, Technology, and Legal stakeholders to evaluate AI/ML use cases for compliance with privacy, regulatory, and ethical standards.
</li><li>Develop and maintain governance documentation for AI systems, including model accountability, explainability, and fairness reviews.
</li><li>Advise on global regulatory developments (e.g., EU AI Act readiness, U.S. Executive Orders, OECD principles) and prepare the organization for compliance.
</li><li>Promote an internal &ldquo;responsible AI&rdquo; culture, balancing innovation with accountability.
</li></ul>Cross-Functional Collaboration
<ul><li>Partner with Legal, Information Security, IT, HR, and Risk teams to operationalize privacy and AI governance controls.
</li><li>Maintain Records of Processing Activities (RoPAs) and ensure audit readiness.
</li>Act as a trusted advisor to senior management on emerging risks and regulatory expectations. 
<li>
</li></ul>Qualifications
<ul><li>Bachelor&rsquo;s degree required; JD, CIPP/E, CIPM, or other recognized privacy certifications strongly preferred.
</li><li>5&ndash;10 years of experience in privacy, compliance, or related regulatory/legal roles.
</li><li>Proven expertise in privacy by design implementation and privacy risk assessments.
</li><li>In-depth knowledge of GDPR and global privacy laws, plus practical experience operationalizing compliance programs.
</li><li>Familiarity with AI governance frameworks, algorithmic risk management, and regulatory standards around automated decision-making.
</li>Strong interpersonal and communication skills, with the ability to influence across technical and non-technical stakeholders. 
<li>
</li></ul>Preferred Attributes
<ul><li>Experience in financial services or other highly regulated industries.
</li><li>Knowledge of AI regulatory developments, including the EU AI Act, U.S. AI policy, and OECD principles.
</li><li>Ability to thrive in a fast-paced, high-stakes environment while managing competing priorities.
</li>Demonstrated thought leadership in privacy innovation and emerging technologies 
<li>
</li></ul>Additional Information
Tradeweb is committed to providing valuable and competitive benefits. In addition to working in our culture of innovation and collaboration, we offer:
<ul><li>Health Insurance : Highly competitive medical, dental, and vision programs
</li><li>Hybrid Environment : Our employees have the flexibility of working in the office and from home.
</li><li>Health Care and Dependent Care Flexible Spending Accounts : You may elect to set aside pre-tax earnings to pay for eligible health care and dependent day care expenses for you and your eligible family members.
</li><li>Maven Family Building Benefit : Maven offers support for fertility and preconception; pregnancy and post-partum; adoption; surrogacy and pediatrics for children up to age 10. Tradeweb provide a $10,000 lifetime reimbursement towards fertility, egg freezing, adoption and surrogacy expenses.
</li><li>Building Wealth - 401(k) Savings Plan : Employees are immediately eligible for the 401(k) plan. Participants may contribute up to 75% of eligible compensation into a traditional 401(k) and/or Roth 401(k). Tradeweb will match 100% of the first 4% of compensation that you contribute.
</li>The current pay range for this role if performed in the city of New York is currently $105,000-$235,000 based on a regular, full-time schedule. The amount of pay offered will be determined by a number of factors, including but not limited to qualifications, market data, geographic location, and internal guidelines. 
<li>
</li></ul>Other Benefit Programs
<ul><li>Pre-Tax Commuter Benefits Program
</li><li>ARAG Legal Services
</li><li>Employee Assistance Program
</li><li>Tuition Reimbursement
</li><li>Financial Wellness Tools
</li><li>Travel Assistance Benefits
</li><li>Pet Insurance
</li><li>Corporate Gym Subsidies
</li><li>Wellness Perks
</li><li>Paid Time Off and Parental Leave</li></ul></div>

Privacy and AI Governance Compliance Officer

Airwallex

<div><h2 class="jobSectionHeader">About Airwallex</h2>
Airwallex is the only unified payments and financial platform for global businesses. Powered by our unique combination of proprietary infrastructure and software, we empower over 150,000 businesses worldwide &ndash; including Brex, Rippling, Navan, Qantas, SHEIN and many more &ndash; with fully integrated solutions to manage everything from business accounts, payments, spend management and treasury, to embedded finance at a global scale.
Proudly founded in Melbourne, we have a team of over 1,800 of the brightest and most innovative people in tech across 26 offices around the globe. Valued at US$6.2 billion and backed by world-leading investors including Visa, Airtree, Blackbird, Sequoia, DST Global, Greenoaks, Salesforce Ventures, Lone Pine, and Square Peg, Airwallex is leading the charge in building the global payments and financial platform of the future. If you&rsquo;re ready to do the most ambitious work of your career, join us.<h2 class="jobSectionHeader">
Attributes We Value</h2>
We hire successful builders with founder-like energy who want real impact, accelerated learning, and true ownership. You bring strong role-related expertise and sharp thinking, and you&rsquo;re motivated by our mission and operating principles. You move fast with good judgment, dig deep with curiosity, and make decisions from first principles, balancing speed and rigor.
You're humble and collaborative; turn zero&#8209;to&#8209;one ideas into real products, and you &ldquo;get stuff done&rdquo; end-to-end. You use AI to work smarter and solve problems faster. Here, you&rsquo;ll tackle complex, high&#8209;visibility problems with exceptional teammates and grow your career as we build the future of global banking. If that sounds like you, let&rsquo;s build what&rsquo;s next.<h2 class="jobSectionHeader">
About the team</h2>
The Legal, Risk &amp; Compliance (LRC) team at Airwallex is a collaborative group of legal minds and risk management experts. We're passionate about safeguarding Airwallex's operations, fostering a culture of compliance and ethical conduct, and ensuring we navigate the global financial landscape with integrity. We provide expert guidance and support to all areas of the business, proactively identifying, mitigating, and managing legal and financial risks.
What you'll do
As Associate Director, Regulatory Legal, Americas you will play a valuable role within the global legal and compliance team and will help our rapidly growing business navigate an increasingly complex regulatory landscape. Although you will be based in San Francisco you will have multi-regional responsibility by supporting our regulatory strategy and advising on complex regulatory issues in the United States, Canada, Mexico and Brazil. You will provide regulatory legal support for all aspects of our business, including payments, card issuing, card acquiring, Yield, and our SaaS offerings. You will also actively participate in the re-invention of the in-house regulatory legal function as a scalable AI-driven function. This dynamic role is ideal for someone who enjoys wearing multiple hats and solving complex issues for our clients, is detail oriented, willing to take on challenges and changes, obsessively curious and intellectually honest, thrives on taking actions and delivering impactful results, and aims to inspire and be inspired.
This role is based in San Francisco or New York City.
Responsibilities:<ul><li>
Advise internal stakeholders, including Product, Commercial and other Legal teams, on a broad range of regulatory matters throughout the Americas</li><li>
Find ways to mitigate legal and regulatory risks while progressing business objectives</li><li>
Support license maintenance activities including managing regulatory relations, requests for information, and regulatory exams</li><li>
Review and update manuals, policies and procedures to ensure compliance with laws and regulations in the regions in which AWX operates while identifying opportunities to create efficiencies</li><li>
Manage and continue to grow the regional AWX reg legal team across multiple jurisdictions</li><li>
Manage external legal counsel and consultants, ensuring high-quality, cost-effective support is aligned with Airwallex&rsquo;s business drivers and risk appetite</li><li>
Support and devise optimal paths to market to support Airwallex expansion activities</li><li>
Use AI to enhance the efficiency and effectiveness of our Regulatory Legal function, including using existing third party tools and supporting the Legal function in developing and deploying AI-driven workflows</li><li>
Support government relations outreach to legislators and regulatory agencies</li></ul>
Who you are
We're looking for people who meet the minimum requirements for this role. The preferred qualifications are great to have, but are not mandatory.
Minimum qualifications:<ul><li>
Juris Doctor and 8 years of post-qualification experience</li><li>
Strong regulatory experience gained in the fintech industry, reputable law firms or financial institutions
</li><li>Sound knowledge of the payments and credit card regulatory environments</li><li>
Experience managing and growing a team of lawyers</li><li>
Strong stakeholder management skills and ability to deal with a range of internal and external stakeholders</li><li>
Proactive, results-driven, and take ownership of your work</li><li>
Ability to multi-task and a team player with strong communication skills</li><li>
Strong drafting skills</li></ul>
Preferred qualifications:<ul><li>
Experience working with stakeholders across the globe and on cross-border payments issues</li><li>
Experience advising on consumer regulatory matters</li><li>
Experience using AI, LegalTech and RegTech tools to enhance efficiency and effectiveness (bonus points for experience developing and deploying tools)</li><li>
Fluent in Spanish or Portuguese</li></ul><h2 class="jobSectionHeader">
Equal opportunity</h2>
Airwallex is proud to be an equal opportunity employer. We value diversity and anyone seeking employment at Airwallex is considered based on merit, qualifications, competence and talent. We don&rsquo;t regard color, religion, race, national origin, sexual orientation, ancestry, citizenship, sex, marital or family status, disability, gender, or any other legally protected status when making our hiring decisions. If you have a disability or special need that requires accommodation, please let us know.
Airwallex does not accept unsolicited resumes from search firms/recruiters. Airwallex will not pay any fees to search firms/recruiters if a candidate is submitted by a search firm/recruiter unless an agreement has been entered into with respect to specific open position(s). Search firms/recruiters submitting resumes to Airwallex on an unsolicited basis shall be deemed to accept this condition, regardless of any other provision to the contrary. If you are approached by someone claiming to represent Airwallex, please verify with our team.
Compensation Range: $200K - $280K</div>

Associate Director, Regulatory Legal, Americas

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