- State of Minnesota (St. Paul, MN)
- **Working Title: Compliance Services Officer Senior ** **Job Class: Compliance Services Officer Senior ** **Agency: Labor & Industry Dept** + **Job ... + **Division/Unit** : Dept of Labor & Industry / Compliance #2 + **Work Shift/Work Hours** : 8:00 am...required forms filing. Contact the claim administrator to resolve compliance issues. + Provide proactive assistance and educational outreach… 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 ... of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such… 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 ... business on compliance and regulatory matters. + Support the Chief Compliance Officer in liaising with regulatory authorities, responding to inquiries, and… 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
- Randstad US (Charlotte, NC)
- senior compliance officer - auto lending. + charlotte , north carolina + posted november 8, 2024 **job details** summary + $91.09 - $96.09 per hour + ... job summary: Hybrid 3 days on-site in Charlotte, NC + Top Skills: + -Lending Compliance + -RCSA, regulatory knowledge + Qualifications: + 7+ years Compliance +… 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 (https://www.governmentjobs.com/careers/ventura/jobs/newprint/4739213) Apply Senior Code Compliance Officer ... elected-by-district Board of Supervisors. The Supervisors appoint a County Executive Officer (CEO) to oversee the County budget, day-to-day operations, and to… more
- Wells Fargo (St. Louis, MO)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to lead _Audit Response and SWAT efforts_ as part of Corporate Compliance ... partners on risk related topics. + Interpret policies, procedures, and compliance requirements. + Interface with Internal Audit, Legal, external agencies, 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 ... Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the… more
- Wells Fargo (Dallas, TX)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer for the Operational Excellence, Governance & Controls (OEGC) team as part of ... Corporate Compliance Regulatory Change Management (CRCM). Learn more about the...+ Execute RCM standards and program maintenance to drive compliance with federal, state, agency, legal and regulatory and… 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 ... Based in Tampa, Florida or Irving, Texas, the Ethics Officer (an SVP) will report to a Director in...analysis of reports to be distributed to board committees, senior management, auditors and regulators, including on the Ethics… 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
- Truist (Atlanta, GA)
- …**Please review the following job description:** Responsible for conducting and directing compliance risk oversight of Sales & Trading business units such as ... issues of regulatory concern, inappropriate behavior and market manipulation. Executes compliance risk management activities to reasonably ensure compliance with… 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) -...Reports to Sr Professional, Manager, Director or Senior Director in the Compliance department Potential… 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
- 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 ... support of the Bank's business strategies and objectives. Provide advice on compliance with governing regulations and Bank internal policies and procedures. **What… 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 ... of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such… 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 ... Analyst (Regulatory Intelligence and Assessment) - Remote **Job Description** The Senior Compliance Analyst assists in the implementation of Prime's … more