- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or ... portfolio of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory...compliance risk, and is represented by the Chief Compliance Officer as either a member or… more
- T. Rowe Price (Baltimore, MD)
- …join our North America Compliance team as a Senior Compliance Officer supporting our investment advisory businesses, specifically the Exchange-Traded ... business on compliance and regulatory matters. + Support the Chief Compliance Officer in liaising with regulatory authorities, responding to inquiries, and… more
- Marex (New York, NY)
- …www.marex.com (http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Executive Compliance Officer - Solutions Advisory ... regulatory reporting requirements. The position will primarily focus on providing real-time compliance advisory services to the Marex Solutions Business units.… more
- Citigroup (Jersey City, NJ)
- Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for reviewing ... the Citi program framework. Primary responsibilities include providing day-to-day Compliance advice relating to transactional conflicts, operations,, and guidance on… more
- City National Bank (Los Angeles, CA)
- ** COMPLIANCE OFFICER SENIOR ** **WHAT IS THE OPPORTUNITY?** The Senior Compliance Officer is responsible for managing and maintaining assigned ... risk. Maintaining regulatory change management, policies and procedures, training, and advisory matters for compliance . This role is responsible for directly… more
- CIBC (Chicago, IL)
- …Reporting to the Vice President, US Chief AML Officer & Global Sanctions, the Senior Director, US AML Governance & Advisory leads the US AML Governance and ... units (commercial/retail banking, wealth management, and capital markets). The Senior Director, US AML Governance & Advisory ,...process and initiatives to ensure compliance . The Senior Director, US AML Governance & Advisory ,… 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 ... work environment. **What You'll Bring** + A minimum of 5-7 years of compliance experience, including experience providing advisory support to a broker-dealer… more
- Deloitte (Columbus, OH)
- …+ Foreign equivalent of the above certifications + CUSICO (Certified US Import Compliance Officer + Professional Accreditation in EU Customs Law (post masters) ... world in our world! What you'll do As a Senior Manager on our Global Trade Advisory ...foreign multinational companies on global import and export strategies, compliance , and technology enablement. The Global Trade Advisory… more
- Truist (Charlotte, NC)
- … compliance and strategic risks within those ECFs. The primary difference between a Senior Technology Risk Officer and a Technology Risk Officer is based ... policies and standards for Enterprise-wide application and impact. Provide guidance to senior leaders across the company on critical / significant control failures… more
- Wells Fargo (Minneapolis, MN)
- …talent. It all begins with you. **About this role:** Wells Fargo is seeking a Senior Lead Fiduciary Advisory Specialist Working at Wells Fargo | Jobs and Careers ... tax strategies and other complex wealth transfer strategies. + Estate Advisory Specialist responsibilities include: ensuring the death settlement process proceeds in… more
- JPMorgan Chase (Plano, TX)
- …regulatory and/or audit best practices. **Job responsibilities** + Perform on-site compliance examinations of broker-dealer and investment advisory business to ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging… more
- State of Minnesota (Pipestone, MN)
- **Working Title: Budget Coordinator** **Job Class: Accounting Officer Senior ** **Agency: Pollution Control Agency** + **Job ID** : 79866 + **Location** : Various ... allows a hybrid schedule (both in office location and/or telework)** As an Accounting Officer Senior at the Minnesota Pollution Control Agency, you will provide… 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 ... Compliance , IT Risk and Training committees. The Compliance Advisory Vice President role assists in...area or process under the oversight of a more senior team member and may cover an area or… more
- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or ... portfolio of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory...compliance risk, and is represented by the Chief Compliance Officer as either a member or… more
- CIBC (Chicago, IL)
- …based in Toronto, Ontario, Canada. **What You'll Be Doing** The PWM Chief Compliance Officer ("CCO") is responsible for developing, implementing, and maintaining ... rules and regulations; + **Working** with the US Chief Compliance Officer and the Director of US...**Exercising** proactive and independent judgment when providing advice to senior management; + **Supervising** a Compliance staff… more
- Endo International (Malvern, PA)
- …of the Global Commercial Business Compliance program to the Chief Compliance Officer and Senior /Executive management. Investigations, Auditing and ... Summary** Responsible for supporting the Executive Director, Global Commercial and R&D Compliance Officer with creating risk-based compliance strategies and… more
- Truist (Charlotte, NC)
- …the capabilities to serve as a proxy for the Governance and Controls Officer with senior leadership, committee presentations, audit, or regulators. Following is ... within the GCO. 11. Communicate, lead discussions, present materials as needed to senior leaders, committees, audit and/or regulators. Serve as a proxy when needed… more
- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Compliance Officer - Policies and Procedures of ... compliance advisor for each regulated entity. The Compliance Officer Policies and Procedures will also...broker dealers, swap dealer, and FCM. + Work with Compliance advisory teams (FCM, Broker Dealer, Solutions,… more
- Bank of America (Tampa, FL)
- Senior Trust Officer Tampa, Florida **Job Description:** At Bank of America, we are guided by a common purpose to help make financial lives better through the ... to their unique goals, while delivering a high-quality experience + Ensures compliance with regulatory and legal requirements related to client accounts and… more
- SMBC (New York, NY)
- …to its employees. **Role Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of ... the compliance program for an investment advisory firm...manuals, policies, and procedures. + Engage with and advise senior management and staff on all issues concerning US… more