- Citigroup (Jersey City, NJ)
- Serves as a compliance testing officer for Independent Compliance Risk Management (ICRM)'s Independent Assessment team responsible for assessing ... to address reported issues. Key Activities include: + Developing, implementing, and executing compliance testing and reporting programs in accordance with the … more
- NatWest Markets (Stamford, CT)
- Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer Stamford,United States Permanent Full Time \#R-00244248 Share: ... the proper operations of the department and the business._ Senior Monitoring and Testing Compliance Assurance Officer reportingto the US General Counsel… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM) testing team responsible for assessing compliance risks and ... + Participating in the planning, executing, and reporting of compliance testing reviews and regulatory issue validation...middle and back office Operations activities within the Global Markets business, in accordance with the Compliance … 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 ... in an inclusive and high-performing culture. **Global Banking and Markets ** Global Banking and Markets (GBM) is...issues and execute action plans for Internal Audit and Compliance Testing findings assigned to Compliance… more
- Truist (Atlanta, GA)
- …to provide active participation in various governance meetings for the Capital Markets Risk Management teams spanning Trading Market Risk, Counterparty Credit ... compliance efforts for regulatory requirements/guidance. 6. Assist in ensuring compliance with regulatory rules ( Market Risk Rule, FRTB, Volcker Rule,… more
- Citigroup (Getzville, NY)
- The Business Risk and Control Sr Officer I is a strategic professional who closely follows latest trends in own field and adapts them for application within own job ... process (QA). + Assist management in exercising control over Operational and Compliance Risk in accordance with established Policy requirements. + Help management… more
- Wells Fargo (St. Louis, MO)
- **About this role:** Wells Fargo is seeking a Lead Independent Testing Officer in Independent Testing & Validation (IT&V) as part of Corporate Risk. Learn ... and Validation Team is seeking a Lead Independent Testing Officer to support the IT&V Customer...accountable for execution of all applicable risk programs (Credit, Market , Financial Crimes, Operational, Regulatory Compliance ), which… more
- Morgan Stanley (Boston, MA)
- …service by modernizing our client experience through an elevated standard of care. The Market Business Service Officer (MBSO) will work closely with the ... the Business Service Officers and Service Managers within the Market . The Market Business Service Officer...Manage risk and assure positive audit results throughout the Market in partnership with Risk and Compliance … more
- Morgan Stanley (Winter Park, FL)
- …to diversifying its workforce. M/F/D/V. **Job:** **Wealth Management* **Title:** * Market Business Service Officer * **Location:** *Florida-Winter Park* ... client experience through an elevated standard of care. The Complex Business Service Officer (CBSO) will work closely with the Complex Management team to lead and… more
- Wellington (Boston, MA)
- …aligns our perspectives with those of our clients. **About the Role** The Compliance Officer will support Wellington Management's compliance program, ... that span nearly all segments of the global capital markets . Our investment solutions, tailored to the unique return...these growth initiatives and implementing enhancements where necessary. The Compliance Officer will be a member of… more
- Thrivent Financial (Salt Lake City, UT)
- …in the areas of compliance risk assessments, regulatory change management, compliance testing & monitoring, and issue management workflows. Certificates or ... life they want today-and tomorrow. Job Summary The Chief Compliance & CRA Officer reports to the...Bank's Community Reinvesment Act Program as well as broad Compliance activities, Compliance Assurance Testing ,… more
- Amalgamated Bank (New York, NY)
- Amalgamated Bank is seeking a Compliance Officer to assist the Consumer Compliance Officers to ensure the Bank's loan, deposit products and services maintain ... relative to lending, deposit, and loan servicing regulations. + Collaborate with Chief Compliance Officer in executing the Bank's Compliance Management… more
- Citigroup (Tampa, FL)
- Serves as a compliance conduct risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, ... business decisions are made, demonstrating particular consideration for clients and the markets by driving compliance with applicable laws, rules and regulatory… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a **Lead Compliance Officer ** to join the **Regulatory Change & Inventory Management (RCIM)** team within Wells Fargo ... . As part of the RCIM team, the Lead Compliance Officer will lead several critical tasks...accountable for execution of all applicable risk programs (Credit, Market , Financial Crimes, Operational, Regulatory Compliance ), which… more
- SMBC (Jersey City, NJ)
- …deposits) is a strong plus (but not required). + Experience in a Compliance Testing or Audit role focused on banking products/services (lending, deposits) ... clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's...of the CRA are utilized to drive monitoring and testing activities and to prioritize Compliance and… more
- Siebert Williams Shank (New York, NY)
- …and experienced compliance professional to the team led by the Chief Compliance Officer . The selected candidates will be responsible for supporting the ... firm's overall compliance program including developing policies and procedures, communicating all...& trading, public & corporate finance groups, and training, testing and assessments. In addition, the selected candidates will… more
- Citigroup (New York, NY)
- …Credit Management Counterparty Credit Risk - Funds Underwriting Credit Officer , Asset Management Companies, VP** **Description** Citi's Commercial Bank (CCB) ... the ICM CCR Funds UW Team and will based in NYC. The Funds UW Credit Officer facilitates the end-to-end lending process and is essential for the delivery of a wide… more
- S&P Global (New York, NY)
- …**Grade Level (for internal use):** 12 **About the Role:** S&P Global is seeking a Compliance Director to join our Compliance Team for the S&P Global Dow Jones ... Indices (SPDJI) division. As a Compliance Director, you'll play a pivotal role in our global compliance team, ensuring that our Compliance Program for the… more
- Louisiana Department of State Civil Service (Natchitoches, LA)
- Agriculture/Forestry Enforcement Officer 1-3 Print (https://www.governmentjobs.com/careers/louisiana/jobs/newprint/4743306) Apply Agriculture/Forestry Enforcement ... Progression Group, vacancies may be filled from this recruitment as an Agriculture/Forestry Enforcement Officer 1, 2 or 3 depending on the level of experience of the… more
- BMO Financial Group (New York, NY)
- Assists in the implementation, maintenance, and administration of specific compliance programs within Global Markets , I&CB, and necessary registrations across ... training needs and helps develop training based on gaps identified through the compliance monitoring and testing . + Identifies enhancements to business group … more
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