- Citigroup (Tampa, FL)
- …work to resolve them. Key Responsibilities: + Manage and monitor assigned regulatory examinations to achieve full compliance ; requires directing a ... examination planning period through formal management response to regulatory supervisory letters. + Establish and lead ...+ 10+ years of business experience in audit, control, compliance or regulatory management in the banking… more
- Wells Fargo (Irving, TX)
- …the Enterprise Testing methodology, standards, and executing group specific testing. The Lead Officer will execute horizontal compliance testing and ... of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to… more
- Citigroup (New York, NY)
- The Capital Markets Regulatory Engagement Officer will be part of Citi's Global Regulatory Engagement team and report directly to the Capital Markets ... Regulatory Engagement Lead . Citi's Global ...oversight across all of Citi's regulators. The Capital Markets Regulatory Engagement Officer will support Citi's … more
- Citigroup (Tampa, FL)
- …while promoting the implementation of actions to address root causes which may lead to unintended operational losses or regulatory breaches. TCCORO provides ... The Technology and Cyber Compliance and Operational Risk Office (TCCORO) at Citi...finalizing all Governance Reporting deliverables. In addition, the Senior Officer will assist with Regulatory inquiries, and… more
- Wells Fargo (Minneapolis, MN)
- **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... compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements. + Lead … more
- Citigroup (Irving, TX)
- ** Regulatory Risk Officer Vice President - Capital Planning Review Team** The Finance Chief Risk Office ("FinCRO") provides risk management oversight of the ... liquidity, interest rate risk and treasury investments, and ensures compliance with all risk-related regulatory requirements. In...limits. As a member of the CPRT team, the Regulatory Risk Officer Vice President will provide… more
- Citigroup (New York, NY)
- …enables the organization to execute on the TBE Vision and Strategy. The Technology Regulatory Exam Management Officer will report to the NAM & International ... Technology Regulatory Exam Management Senior Lead and will... exam management in order to meet Citi's legal, regulatory and compliance requirements + Oversee … more
- Citigroup (Schaumburg, IL)
- The Regulatory Risk Sr Officer I is a strategic professional who closely follows latest trends in own field and adapts them for application within own job and ... soundness, and continued growth of a cards business. **Responsibilities:** + Lead risk financial forecasting efforts, including designing and maintaining complex… more
- Citigroup (Wilmington, DE)
- The Regulatory Risk Sr Officer I is...Business, Finance, and accounting policy); as well as external regulatory & audit teams + Overseeing compliance ... innovative solutions as process evolves and demonstrate high-profile leadership during regulatory review, auditors and the Independent Risk community. + Primary… more
- TEKsystems (Charlotte, NC)
- About this role: + Lead Compliance Officers will support Auto Lending with the execution of RCSA refreshes and ensuring compliance requirements are aligned ... risk teams on risk related topics. Required Qualifications: + 5+ years of regulatory compliance experience. + Significant experience with consumer lending … more
- TEKsystems (Charlotte, NC)
- About this role: + Senior Lead Compliance Officers will support Auto Lending with the execution of RCSA refreshes and ensuring compliance requirements are ... risk teams on risk related topics. Required Qualifications: + 7+ years of regulatory compliance experience. + Significant experience with consumer lending … more
- Citigroup (Wilmington, DE)
- …for capital, liquidity, interest rate risk and treasury investments, and ensures compliance with all risk-related regulatory requirements. In addition, the team ... and monitoring of controls frameworks specific to forecasting, remediating regulatory /internal audit deficiencies and oversight of multiple risk streams across… more
- Fifth Third Bank, NA (Charlotte, NC)
- …functions. + 5+ years as a Registered Investment Adviser Chief Compliance Officer or equivalent experience at a regulatory agency. + Ability to travel. ... in banking at Fifth Third Bank. GENERAL FUNCTION: Chief Compliance Officer , this position is responsible for...regarding the firms' implementation of and adherence to all regulatory compliance requirements; and educate, update and… more
- Northern Light Health (Pittsfield, ME)
- …government inquiries and investigations. The CO serves as each assigned MO's designated Compliance Officer , HIPAA Privacy Officer , Civil Rights Coordinator, ... Work Schedule: 8:00 AM to 4:30 PM Summary: The Compliance and Privacy Officer (CO) directs, develops,...compliance projects and initiatives. + Works directly with compliance clients to respond to regulatory requirements,… 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, ... infrastructure against these growth initiatives and implementing enhancements where necessary. The Compliance Officer will be a member of the Legal, … more
- University of Michigan (Ann Arbor, MI)
- …applicable MM policies and MM?s Code of Conduct. Reporting to the Chief Compliance Officer the Senior Director is responsible for on-going risk assessments, ... systems or businesses acquired by the health system. + Lead complex compliance projects and cross-functional teams...risk-based compliance reporting to ensure the Chief Compliance Officer , Executive Leadership and compliance… more
- SMBC (New York, NY)
- …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 as ... Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage...up on issues until resolved. + 10+ years of regulatory compliance experience at a broker dealer.… more
- SMBC (New York, NY)
- …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 as ... Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage...organized with project management skills. + 10+ years of regulatory compliance experience at a broker dealer.… more
- Citigroup (Tampa, FL)
- …internal and external investigations, as well as testing and audit. + Designing and lead compliance and control reviews. + Partnering with other ICRM teams and ... Serves as a senior function/business/product compliance risk officer for Independent ...+ Advising ICRM and function/business/product management and personnel on regulatory and compliance issues and provide credible… more
- Citigroup (Jersey City, NJ)
- …internal and external investigations, as well as testing and audit. + Designing and lead compliance and control reviews. + Partnering with other ICRM teams and ... Serves as a senior **_CitiDirect & CitiConnect_** product compliance risk officer for Independent ...and CitiDirect and CitiConnect product management and personnel on regulatory and compliance issues and provide credible… more
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