- State of Minnesota (St. Paul, MN)
- **Working Title: Compliance Services Officer Senior ** **Job Class: Compliance Services Officer Senior ** **Agency: Labor & Industry Dept** ... + **Division/Unit** : Dept of Labor & Industry / Compliance #2 + **Work Shift/Work Hours** : 8:00 am...play a critical role in developing policies, providing essential services , and working to improve the well-being and quality… more
- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or ... history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities, credit cards, and consumer...compliance risk, and is represented by the Chief Compliance Officer as either a member or… more
- T. Rowe Price (Baltimore, MD)
- …professional to join our North America Compliance team as a Senior Compliance Officer supporting our investment advisory businesses, specifically ... compliance and regulatory matters. + Support the Chief Compliance Officer in liaising with regulatory authorities,...a related field. + 12+ years of experience in compliance within the investment management or financial services… more
- Banco Popular Puerto Rico (San Juan, PR)
- …Nov 22, 2024 Location: San Juan, PR Company: Popular Workplace Type: Hybrid Senior Compliance Officer General Description This position requires providing ... are defined as deficient practices that result in the actual or potential non- compliance with any law or regulation that addresses consumer protection, that are… more
- Citigroup (New York, NY)
- **Job Description** Serves as a Senior Compliance Risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing and ... the Citi program framework. **Responsibilities:** + Coverage of the Compliance Data & Systems Transformation Workstream focusing on the...to influence and lead people across cultures at a senior level + Experience in managing regulatory exams and… more
- Citigroup (Getzville, NY)
- Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, ... execution of initiatives that support timely and effective completion of Compliance transformation milestones. + Managing the day-to-day operations of Compliance… more
- Ventura County (Ventura, CA)
- Senior Code Compliance Officer Print...for the first 10,400 hours or 5 years of service ; vacation accruals increase at 5, 11, 12, 13, 14, ... (https://www.governmentjobs.com/careers/ventura/jobs/newprint/4739213) Apply Senior Code Compliance Officer Salary $85,068.28 - $119,302.41 Annually...15 and 20 years of service topping out at 26 days a year and… more
- JPMorgan Chase (Tampa, FL)
- …quo and striving to be best-in-class. As a Compliance - Monitoring and Testing Senior Officer - Senior Associate in our global/regional Compliance ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...preferred but not required + Experience in the financial services industry is preferred JPMorganChase, one of the oldest… more
- Citigroup (Tampa, FL)
- …(including the Chief Legal Officer , the Head of HR, the Chief Compliance Officer , other senior management, the Compensation, Performance Management and ... escalate matters, as appropriate. Based in Tampa, Florida or Irving, Texas, the Ethics Officer (an SVP) will report to a Director in Citi's Ethics Office and… more
- Citigroup (Tampa, FL)
- Serves as a compliance conduct risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, ... and monitoring of conduct risk related issues. + Reviewing materials to ensure compliance with various regulatory expectations to ensure compliance & operational… more
- Citigroup (Tampa, FL)
- Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing ... with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating… more
- Prime Therapeutics (Columbus, OH)
- …prepare and maintain records and related documentation for reporting to the Chief Compliance Officer , Prime's senior leadership team, executives, Corporate ... and drives every decision we make. **Job Posting Title** Senior Compliance Analyst (Interpretation and Advising) -...collaboratively to provide the highest quality of care and service to our members. If you are looking to… more
- Scotiabank (New York, NY)
- Senior Manager, Conduct Compliance Officer **Requisition ID:** 210173 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range shown is a ... together to drive ambition for every future! **Purpose** The Conduct Compliance Officer coordinates tracking, measurement, and management for conduct-related… more
- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or ... history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities, credit cards, and consumer...compliance risk, and is represented by the Chief Compliance Officer as either a member or… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... a full range of investment banking, credit and risk management products and services relevant to the financing and strategic development needs of our clients. Our… more
- Ankura (NY)
- …internal controls, and systems processes; + Prepare compliance reports for Compliance Officer , Senior Management, and/or Board; + Assist clients ... Conduct independent regulatory program reviews and Testing; + Drafting BSA/AML compliance programs and developing training for FinTech's and broker-dealers. +… more
- CIBC (New York, NY)
- …helping CIBC become a strong, innovative and relationship-oriented bank for a modern world. The Senior Compliance Officer will support CIBC Bank USA and CIBC ... to all applicable laws, regulations, and internal policies. The Senior Compliance Officer reports to...management, or legal roles within the banking or financial services industry. + Bachelor's degree in Business, Finance, Law,… more
- Citigroup (Washington, DC)
- Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, ... from across the firm and work with contacts in the Business and Compliance to ensure consistent and effective application and implementation of, and controls to… more
- Citigroup (Getzville, NY)
- Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, ... consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice… more
- Prime Therapeutics (Columbus, OH)
- …prepare, and maintain records and related documentation for reporting to the Chief Compliance Officer , Prime's senior leadership team, Executives, Corporate ... (Regulatory Intelligence and Assessment) - Remote **Job Description** The Senior Compliance Analyst assists in the implementation...collaboratively to provide the highest quality of care and service to our members. If you are looking to… more