- SMBC (New York, NY)
- …findings or recommendations; + M&T findings or recommendations; and/or + Observations by Compliance officer or business staff member + Coordinate with relevant ... Management + Compliance Training + Issues Management + Monitoring & Testing + Compliance Risk Assessment + Communications and Transaction Surveillance +… more
- Neuberger Berman (New York, NY)
- …join the Compliance Team in New York. This person will report into the Chief Compliance Officer - Central Compliance . In this role, the primary focus is ... and annual compliance training and assist with content updates + Participate in compliance testing as part of the firm's overall Investment Advisers Act Rule… more
- Banc of California (Durham, NC)
- …banks focused on providing banking and treasury management services to small, middle- market , and venture-backed businesses. Banc of California offers a broad range ... WIN(R) **THE OPPORTUNITY** The VP, Senior Business Continuity Planning Officer role is a key role that is second...changes to business operations occur, or as identified through testing and audits or exams. + Exercises: Plans, conducts,… more
- SMBC (Jersey City, NJ)
- …The role will work closely with the SMBC Nikko Securities America, Inc., Chief Compliance Officer , SMBC Americas Division Head of Ethics Office, business unit ... clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's...the current compensation paid in their geography and the market for similar roles at the time of hire.… more
- National Renewable Energy Laboratory (Golden, CO)
- …to monitoring protocols, accurate incident notifications, and shift reporting compliance . + Oversee proper handling of service requests-including emergency and ... processes are timely and effective. + Provide operational and technical support for testing and validating CMS systems (eg, ACM, CCTV, access control, and radios).… more
- Mission Support and Test Services (Mercury, NV)
- …services such as fissile material handling, certified packaging operations, leakage rate testing , and transportation of hazardous materials in support of the MSTS ... certified packaging and staging operations. + Support the FMH Training Officer during training development and implementation, as needed. Under general supervision… more
- Signature Aviation (Honolulu, HI)
- …Transfer Operations and Maritime Security (MARSEC). Act as the Facility Security Officer . + Provide audit response and corrective action as necessary for recurring ... maintenance and regulatory compliance requirements. + Work with engineers on design criteria...+ Must pass pre-employment drug screen and all pre-employment testing + Must hold a valid drivers' license +… more
- Zions Bancorporation (Salt Lake City, UT)
- …we bring the opportunity. **We are currently seeking a** **Risk and Compliance Testing Officer ** **within the Market , Liquidity, Wealth Risk & ... under local brands and management teams in high-growth western markets . Zions is regularly recognized by _American Banker_ magazine...A Market , Liquidity, and Wealth Risk & Compliance (MLW) Testing Officer works… more
- MUFG (Irving, TX)
- …reviews on the Sales & Trading business units with focus on the Markets Compliance program. The Compliance Officer will work closely with ACT teammates ... assessment of the Swap Dealer program, Volcker Rule program, Market Conduct, Market Access, Desk, Branch and...markets compliance , markets surveillance, compliance monitoring, auditing or testing reviews and/or… more
- TD Bank (New York, NY)
- …global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance ... for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of... + Assist with developing and executing the annual Compliance Testing and Monitoring plan + Determine… more
- First Horizon Bank (Memphis, TN)
- …On site at location listed in job posting **SUMMARY** The Senior Risk Compliance Officer supports First Horizon Bank's internal control framework by designing, ... education and experience 3. Previous experience in risk management, internal audit, compliance , or control testing preferred. 4. Familiarity with relevant… more
- Bank of America (Charlotte, NC)
- …Active Listening + Issue Management + Liquidity Management + Monitoring, Surveillance, and Testing + Regulatory Compliance **Shift:** 1st shift (United States of ... Enterprise Financial Risk Capital Markets Risk Sr. Specialist Charlotte, North Carolina, United...the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief Financial Officer… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS US Compliance ... businesses, working with regional teams across the globe. This Compliance Officer will also support other aspects...to learn new regulatory areas impacting products, behaviors and market participants. + Knowledge of testing or… more
- TD Bank (New York, NY)
- …more specific details for this role. **Job Description:** **Position:** Senior FCRM Compliance Officer **Reports to:** Director, Financial Crime Risk Oversight, ... risks of new products and mandates. The Senior FCRM Compliance Officer is responsible for supporting the...Conduct targeted AML/OFAC training, as appropriate. + Conduct periodic testing of AML functions as mandated by the Periodic… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a **Lead Compliance Officer ** in Corporate Risk as part **Trade Surveillance Oversight** Team. This role will be ... including but not limited to the creation, enhancement and testing of surveillance modules around specific market ...compliance or regulatory organization + Knowledge of US Market Abuse or Manipulation Regulations and FCA MAR Behaviors… more
- First Horizon Bank (Jonesboro, AR)
- … background required (2-4 years). Background in preparing for internal ( Compliance Testing and/or Audit) and external (regulatory) examinations preferred. ... site in Memphis, TN; Raleigh, NC; Jonesboro, AR; **SUMMARY** A Privacy Officer is responsible for developing, implementing, and overseeing an organization's privacy… more
- Honeywell (Clearwater, FL)
- As a **Sr Export Compliance Officer ** here at Honeywell, you will play a crucial role in ensuring that our company operates within the boundaries of export laws ... and regulations while maintaining a strong culture of compliance . You will work out of one of our...communications sent by the function + Support audits, transaction testing , metrics gathering + Provide guidance on export regulations… more
- Bloomberg (New York, NY)
- Compliance - US Bank Secrecy Act (BSA) Officer - New York Location New York Business Area Legal, Compliance , and Risk Ref # 10047869 **Description & ... compliance programs for the Americas. The BSA AML Officer will be responsible for ensuring compliance ...Serve as the lead for AML audit and independent testing efforts across the Americas, ensuring findings are addressed… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …to Regulatory Monitoring and Change management Program ownership. + Recommend protocols for compliance testing . + Contribute updates to the compliance risk ... apply logical and critical thought processes when developing and recommending solutions. #LI-GM1 Compliance Officer I-Newline Compliance At Fifth Third, we… more
- Kelly Services (Burlington, NJ)
- **Position:** Lead Compliance Officer **Location:** Onsite (Pharmaceutical Manufacturing Facility) **Salary Range:** $75,000 - $85,000+ (DOE) **Bonus:** ... a dynamic pharmaceutical environment? We are seeking a Lead Compliance Officer to establish and drive ...**Qualifications** + Minimum 8 years' experience in pharmaceutical, analytical testing , or related science field + Minimum 3 years… more
