- Bloomberg (New York, NY)
- SEF Compliance Surveillance Lead and Advisory Compliance Officer - Legal & Compliance **New York, NY** Posted Apr 25, 2024 - Requisition No. 124842 ... Bloomberg's non-regulated products and services. We work to address regulatory issues, ensure compliance with current/developing rules...We are looking for a Swap Execution Facility (SEF) Compliance Officer to join our SEF … more
- Wells Fargo (Irving, TX)
- **About this role:** Wells Fargo is seeking a Lead Compliance Officer in Consumer Lending Compliance as part of the Credit Card Compliance Team. ... experience, education **Desired Qualifications:** + Experience in risk management and regulatory compliance + Knowledge and understanding of lending policies,… more
- Danaher Corporation (Marlborough, MA)
- …CMC strategies for internal and partner programs. This position is part of Global Regulatory Compliance in Marlborough and will be remote. At Cytiva, our vision ... to develop the next generation of life-changing therapeutics. The Regulatory Affairs CMC Officer for Cytiva is...from discovery to delivery. What you will do: + Lead development and execution of regulatory Chemistry,… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking **Senior** ** Lead Compliance Officers** in Corporate Risk as part of **Equity Sales and Trading Compliance .** ... regulatory change + Develop, oversee, and provide expert business and regulatory compliance functional knowledge + Provide regulatory compliance risk… more
- Harvard University (Cambridge, MA)
- …Screening:Criminal, Education, IdentityJob Function:General Administration, Health CarePosition Description: Compliance Officer : + Oversees the compliance ... Health Services (HUHS), with a dotted line to the Executive Director, the Compliance Officer administers the Harvard University Health Services Compliance … more
- Comerica (Farmington, MI)
- BRCO Business Unit Compliance Lead The Business Risk and Control Officers (BRCOs) play a pivotal role in guiding the business to identify and understand risk ... with the risk management lifecycle. The BRCO Business Unit Compliance Lead for the Line of Business...proper controls. * Manages implementation of new or revised regulatory requirements identified by Compliance (2LOD); answers… more
- CUNY (New York, NY)
- Deputy Director of Financial Aid and Compliance Officer **POSITION DETAILS** The City University of New York's (CUNY) Office of Student Financial Assistance ... is seeking a Deputy Director of Financial Aid and Compliance Officer who, reporting to the Executive...accordingly. + Conduct internal audits to review system functionality, regulatory compliance , and consistency of regulatory… more
- Citigroup (Schaumburg, IL)
- …on internal policies and procedures. Reporting to the Citi Retail Services Chief Compliance Officer , this role will provide compliance oversight of ... as well as testing and audit. + Designing and lead compliance and control reviews. + Partnering...focus + Related certifications preferred such as ABA Certified Regulatory Compliance Manager (CRCM) **Education:** + Bachelor's… more
- Santander US (Miami, FL)
- BSA/AML Compliance Officer Miami, United States of America **Position Summary:** Responsible for leading the BSA/AML and Sanctions Compliance function and ... AML compliance with all applicable laws and regulations. BSA/AML Compliance Officer reports to the CRO. **Position Duties / Responsibilities:**… 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
- NY CREATES (Albany, NY)
- …NY Category: Administrative Posted On: Mon Jul 1 2024 Job Description: Job Description for Compliance and Data Privacy Officer As a Compliance and Data ... ensure that the Corporations maintain accurate and up-to-date records to demonstrate compliance with legal and regulatory requirements. + Establish, develop,… more
- Morgan Stanley (Purchase, NY)
- …Maintain and update the Compliance policies and procedures. - Support the Chief Compliance Officer with the annual review of the RIA compliance program. ... **Job:** ** Compliance * **Title:** *Wealth Management Institutional RIA Compliance Officer * **Location:** *New York-Purchase* **Requisition ID:** *3254828* more
- MUFG (Irving, TX)
- …remotely one day. A member of our recruitment team will provide more details. The Compliance Officer will be a member of the Global Corporate & Investment ... Investment Banking ("GCIB") business unit. Roles and Responsibilities: The Compliance Officer will assist in the management...and Compliance open issues (related to core compliance topics). + Lead miscellaneous and related… 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
- Citigroup (Tampa, FL)
- …coordinating the implementation of new regulatory requirements. + Designing and lead compliance and control reviews. + Appropriately assess risk when ... Serves as a senior function/business/product compliance risk officer for Independent ...of focus + Related certifications desirable, such as Certified Regulatory Compliance Manger (CRCM) **Education:** + Bachelor's… more
- Bloomberg (New York, NY)
- Senior Compliance Officer - Trade / Export Control - Legal & Compliance **New York, NY** Posted May 17, 2024 - Requisition No. 125360 The energy of a ... our non-regulated products and services. We work to address regulatory issues, ensure compliance with current/developing rules...regulators. We are seeking a Trade / Export Control Compliance Officer who is adept in US… more
- Cambridge Savings Bank (Waltham, MA)
- POSITION: Lead C&I Credit Officer Summary: At Cambridge Savings Bank, our purpose is to have a positive impact on our customers, employees, and community's ... and inclusion, and fostering a highly collaborate and customer centric environment. The Lead C&I Credit Officer is responsible for managing the credit analysis… more
- CareFirst (Baltimore, MD)
- …Risk Officer . **ESSENTIAL FUNCTIONS:** Establishes and maintains an effective compliance program to promote awareness and compliance with CareFirsts mission, ... of communication at all levels of the organization; and driving enterprise-wide compliance and regulatory affairs initiatives. o Responsible for the development,… more
- HUB International (Columbus, OH)
- …within a rapidly expanding legal and compliance department. The **S** **VP, Compliance and Risk Officer ** , Hub Retirement and Private Wealth ("RPW"), will ... a highly visible, senior leadership position, reporting directly into the Global/Executive Chief Compliance and Risk Officer , working closely with the RPW and… more
- Banco Popular Puerto Rico (San Juan, PR)
- …Jun 21, 2024 Location: San Juan, PR Company: Popular Workplace Type: Hybrid Senior Compliance Officer II AtPopular,we offer a wide variety of services and ... at least 5 years of experience in managing financial compliance regulatory matters. Expertise and knowledge of...etiquette. * Able to maintain effective interpersonal relationships and lead /work in teams a must. * Detail oriented, able… more
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