- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing compliance risks and ... reported issues. Key Activities include: + Developing, implementing, and executing compliance testing , continuous assurance, and reporting programs within an… more
- Citigroup (Queens, NY)
- The Business Risk Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their ... Responsible for managing and supporting multiple risk and control programs for Wealth Deposits including, processes, quality, tools and reporting that provide global… more
- BMO Financial Group (Milwaukee, WI)
- …information and/or documentation + May act as the designated Primary Business Unit Compliance Officer (BUCO) and/or Anti-Money Laundering Reporting Officer ... line of defense (1st LOD) programs (eg, operational risk, AML, compliance , regulatory, etc.), including overseeing business operations within the jurisdiction to… more
- Wells Fargo (West Des Moines, IA)
- **About this role:** Wells Fargo is seeking a Lead Independent Testing Officer within Independent Testing & Validation (IT&V) Commercial Banking and ... business at wellsfargojobs.com (https://www.wellsfargojobs.com/career-areas/) . The Financial Crimes Independent Testing and Validation (IT&V) Commercial Banking and Corporate &… more
- Tradeweb (New York, NY)
- …functions including implementation of written supervisory procedures, policies, training, annual testing , transaction monitoring and AML compliance + Manage the ... will be responsible for managing interactions with regulatory agencies to ensure compliance with applicable laws and regulations. You will be responsible for… more
- Customs and Border Protection (Nome, AK)
- …mission objectives of interdicting terrorists and instruments of terror, and compliance with export requirements are met. Requirements Conditions of Employment You ... CBP follows the DHS Drug-Free Workplace Plan for drug testing procedures Firearm Requirement- This position requires that the...Operations Center at ###. The customs and border protection officer mandatory separation provisions of 5 USC 8425 do… more
- Customs and Border Protection (Houston, TX)
- …export of cargo and merchandise and articles accompanying persons; international mail compliance ; arrival or departure of vessels, aircraft, and vehicles involved in ... utilization documents Serving as a resource person and training officer for an assigned group of journeymen and trainee...CBP follows the DHS Drug-Free Workplace Plan for drug testing procedures You must have taken the required CBP… more
- Morgan Stanley (Winter Park, FL)
- …Morgan Stanley EOE committed to diversifying its workforce. M/F/D/V. **Job:** ** Wealth Management* **Title:** *Market Business Service Officer * **Location:** ... 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
- Morgan Stanley (Boston, MA)
- …opportunity employer committed to diversifying its workforce (M/F/Disability/Vet). **Job:** ** Wealth Management* **Title:** *Market Business Service Officer * ... our client experience through an elevated standard of care. The Market Business Service Officer (MBSO) will work closely with the Market Management team to lead and… more
- Morgan Stanley (New York, NY)
- …Client Onboarding & Due Diligence (COBDD) Chief Administration Office Director in Wealth Management Operations to provide support across the COBDD organization and ... . Lead in process improvement, project management or technology development and testing across multiple teams and/or divisions . Analyze and expose ambiguous,… more
- Wells Fargo (Shoreview, MN)
- …Control Management Officer on the Trust Business Control Team within Wealth and Investment Management (WIM). This team supports the Trust businesses in their ... and control activities, including most notably issue management, RCSA and audit/ testing support. This role would primarily have issue management responsibilities,… more
- DHS Headquarters (Washington, DC)
- …national standards for safeguarding NSI (non SCI/SAP) and the application and compliance of those standards. Supervises a staff of security specialists and directs ... This is a non-bargaining unit position. Responsibilities As a Security Officer , GS-0080-15, your typical work assignments may include: Managing the directorate-wide… more
- Citigroup (San Antonio, TX)
- …and assist in internal and external (regulatory) audits, examinations and other compliance testing initiatives **Qualifications:** + Relevant 6-10 years of ... The Business Risk Officer role in Citi Global Wealth ...group of support and control functions including Business Risk, Compliance , Operational Risk, Legal and Internal Audit. **Responsibilities:** +… more
- JPMorgan Chase (Plano, TX)
- …to the Consumer and Community Bank (CCB) Control Functions (Control Management, Compliance , Risk, and Audit) and monitors, analyzes, reports, and advises on legal ... Card Services, Consumer Banking, Digital and Payments, Home Lending, JPMorgan Wealth Management, and associated operations). As a Vice President, Assistant General… more
- M&T Bank (Clanton, AL)
- … Advisor must understand when situations warrant escalation to the M&T Bank Chief Compliance Officer , Legal, or when other consultation is needed. The ... reporting, risk assessment, quality control and assurance, budgeting, technology solutions, compliance training -WISD: Wealth and investment laws and regulations… more
- Scotiabank (New York, NY)
- Senior Audit Manager, Compliance Audit (Non-AML) **Requisition ID:** 209949 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... **Purpose** Seeking a detail-oriented Senior Audit Manager who is seasoned Compliance Auditor with significant experience in Trade Surveillance audits, focused on… more
- KPMG (New York, NY)
- …consumer compliance and safety and soundness regulations, (such as a compliance manager and/or officer , auditor, examiner, advisor, consultant, or regulatory ... **Business Title:** Senior Associate, Consumer Compliance **Requisition Number:** 118208 - 68 **Function:** Advisory...our people are our number one priority. With a wealth of learning and career development opportunities, a world-class… more
- Robert Half Finance & Accounting (San Francisco, CA)
- …procedures. + Establish robust internal controls and ensure adherence. + Conduct ongoing testing of compliance policies and procedures. + Draft and update ... range from asset allocation and portfolio management to customized wealth management, all designed to help clients achieve their...reports. Requirements + 3+ years of experience as a Compliance Manager/ Officer at an RIA. + Strong… more
- Morgan Stanley (Purchase, NY)
- …is adequate. * . *Examination Management*- Assist in coordination with internal/external auditors, compliance and central RCSA testing teams to ensure that the ... Morgan Stanley Wealth Management provides access to a wide range...the status of open risks identified by internal/external audit, compliance and central RCSA testing teams and… more
- CIBC (Madison, IL)
- …presentation materials, minutes, and agenda preparation on behalf of the Private Wealth Chief Administrative Officer + Special Projects: Manage special projects, ... proactively with colleagues to manage the daily priorities of the Private wealth Chief Administrative Officer + Provide ongoing administrative support including… more