- City National Bank (Los Angeles, CA)
- ** COMPLIANCE OFFICER SENIOR ** **WHAT IS THE OPPORTUNITY?** The Senior Compliance Officer is responsible for managing and maintaining assigned ... areas of the compliance program including monitoring business area compliance with applicable laws and regulations, ensuring controls are in place to mitigate … more
- Treasury, Financial Crimes Enforcement Network (Vienna, VA)
- …Responsibilities This position is located in our ENFORCEMENT & COMPLIANCE DIVISION. As a Senior Compliance Officer , you will: Serve as a key advisor to ... the [Section Chief / Supervisory BSA Compliance Officer ] on the formulation, planning, development,...(AML) rules and regulations; OR Providing written recommendations to senior officials on BSA/AML compliance rules, regulations,… 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
- JPMorgan Chase (Jacksonville, FL)
- …outside the box, challenging the status quo and striving to be best-in-class. As a Compliance Risk Management Senior Officer within the Compliance , ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...+ Ability to establish credibility and strong partnerships with senior business leaders, control functions, and corporate partners globally… more
- Citigroup (New York, NY)
- Serves as a senior product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, ... with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating… more
- Citigroup (New York, NY)
- …(ICRM) responsible for leading and managing business execution activities, supporting the Chief Compliance Officer and the Senior Leadership team for Banking ... + Developing and coordinating communications for the Banking & International Chief Compliance Officer and Senior Leadership Team. + Leading initiatives and… more
- Endo International (Malvern, PA)
- …of the Global Commercial Business Compliance program to the Chief Compliance Officer and Senior /Executive management. Investigations, Auditing and ... Summary** Responsible for supporting the Executive Director, Global Commercial and R&D Compliance Officer with creating risk-based compliance strategies and… 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
- Bloomberg (New York, NY)
- …and correspond with regulators. We are seeking a Trade / Export Control Compliance Officer who is adept in US export control regulations specifically ... import / export compliance across the various Bloomberg businesses. The Compliance Officer will maintain compliance with applicable customs / export and… more
- Wellington (Boston, MA)
- …Therefore, a key responsibility of the role is to work with the Chief Compliance Officer to build-out, manage and execute the compliance infrastructure ... Enterprise Risk Group and will report to the Private Investments Chief Compliance Officer , working closely with other compliance professionals and attorneys.… more
- Citigroup (New York, NY)
- Serves as a risk officer for Independent Compliance Risk Management (ICRM)'s Exam Management and Regulatory Liaison Office responsible for the promotion, ... regulators. + Establishing and developing effective relationships within Citigroup senior management, front line, second line (including independent risk, finance,… more
- JPMorgan Chase (Plano, TX)
- 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 ... impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and… more
- Neuberger Berman (New York, NY)
- …experience in role of senior lawyer with compliance responsibilities, or senior compliance officer (or CCO) for registered funds + Strong knowledge ... Chief Compliance Officer for over $55 billion...of direct reports + Ability to work closely with senior business and management in fast-paced, results oriented environment… 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
- 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
- Citigroup (Tampa, FL)
- Serves as a senior compliance officer covering the Human Resources (HR) function for Independent Compliance Risk Management (ICRM) responsible for ... with the Citi program framework. Primary responsibilities include providing day-to-day Compliance advice relating to core HR activities and operations, such as… 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
- Geisinger (Danville, PA)
- …to determine which audit engagements should be preformed as directed by the Compliance Officer or Senior Leadership achieves department specific performance ... and evaluations of the adequacy and effectiveness of the organization's compliance initiatives. Participates in reviews related to performance quality of assigned… more
- Honeywell (Clearwater, FL)
- …future? Overview Honeywell International Inc. is seeking candidates for an opportunity as a Senior Export Compliance Officer , who will report directly to a ... on the corporate Export Compliance Leadership Team. The Senior Export Compliance Officer 's primary responsibility will be developing and delivering… more