- Scotiabank (New York, NY)
- Senior Manager, Conduct Compliance Officer **Requisition ID:** 210173 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range shown is a ... together to drive ambition for every future! **Purpose** The Conduct Compliance Officer coordinates tracking, measurement, and management for conduct-related… more
- Family and Children's Association (Mineola, NY)
- Compliance Officer The Opportunity FCA is excited to announce an opportunity for the position of Compliance Officer . As we continue to grow and evolve, ... evaluate compliance issues/concerns within FCA. The ideal Compliance Officer will ensure FCA complies with... Committee by monitoring and reporting results of FCA's compliance /ethics efforts and providing guidance to the senior… more
- Stephen F. Austin State University (Nacogdoches, TX)
- Chief Compliance Officer Bookmark this Posting Print Preview | Apply for this Job Posting Details Position Information Job Title Chief Compliance Officer ... 11. Reports on compliance activities to The University of Texas System compliance officer as requested. 12. Monitors developments and changes in statutes and… more
- Wells Fargo (Tempe, AZ)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to serve as a Business Aligned Compliance Officer (BACO) responsible for ... Conduct Management groups within Wells Fargo's Chief Operating Office. The Senior Lead Compliance Officer is responsible for reviewing the front line's… more
- Fifth Third Bank, NA (Charlotte, NC)
- …Discover a career in banking at Fifth Third Bank. GENERAL FUNCTION: Chief Compliance Officer , this position is responsible for ensuring policies and procedures ... Develop and report findings to the Registered Investment Adviser's Senior Management regarding compliance with regulations. +...+ 5+ years as a Registered Investment Adviser Chief Compliance Officer or equivalent experience at a… 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
- Stanford Health Care (Palo Alto, CA)
- …to the President and CEO of both SHC and SMCH, the SHC/SMCH Chief Compliance Officer oversees a comprehensive hospital and clinical compliance program ... procedures, and standards of conduct related to compliance . + Stewarding compliance committees comprised of senior SHC/SMCH leaders. + Developing effective… more
- West Pharmaceutical Services (Exton, PA)
- Sr . Counsel & Deputy Compliance Officer Requisition ID: 67707 Date: Nov 26, 2024 Location: Exton, Pennsylvania, US Department: Legal Description: At West, ... efforts. **Job Summary:** The Senior Counsel (Employment) and Deputy Compliance Officer will report directly to VP, Associate General Counsel, Chief … more
- General Dynamics Information Technology (Falls Church, VA)
- …meaningful part of improving how agencies operate. Our work depends on a Cyber Compliance Officer joining our team to support Guard Enterprise Cyber Operations ... GDIT, we foster a people-centric environment. As a Cyber Compliance Officer , you will support compliance...role. You will be interfacing with the client and senior staff. Therefore, you should be articulate in your… more
- Honeywell (Aguadilla, PR)
- Engineering Export Compliance Officer + You must have experience as an engineer - preferred avionics or electronics Location USA - This is not a remote position ... Aguadilla, PR, Moca, PR #Hybrid As an Engineering Export Compliance Officer here at Honeywell, you will...regulations. You will provide legal guidance and facilitate export compliance matters to business units and senior … more
- City of New York (New York, NY)
- …external audit, financial reporting and programmatic fiscal processes to serve as Chief Compliance Officer . The selected candidate for this position will use an ... areas of concern. NYC Aging seeks a highly motivated Senior manager with broad-based experience in compliance ,...to fiscal oversight or of agency-wide significance, the Chief Compliance Officer duties and responsibilities will include… more
- University of North Carolina- Chapel Hill (Chapel Hill, NC)
- …University of North Carolina. They will serve as the Research and Compliance Officer with strong emphasis on analyzing, interpreting, applying, communicating, ... directly to the Epidemiology Business Manager. The Research and Compliance officer provides oversight of the accounting,...School of Public Health. The position is considered a senior member of the administrative structure of the Department.… more
- T. Rowe Price (Baltimore, MD)
- …professional to join our North America Compliance team as a Senior Compliance Officer supporting our investment advisory businesses, specifically ... business on compliance and regulatory matters. + Support the Chief Compliance Officer in liaising with regulatory authorities, responding to inquiries, and… 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 ... 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… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a **Lead Compliance Officer ** to join the **Regulatory Change & Inventory Management (RCIM)** team within Wells Fargo ... . As part of the RCIM team, the Lead Compliance Officer will lead several critical tasks...N Beaumont Street, Saint Louis, MO 1150 W Washington Sr , Tempe, AZ **Pay Range** Reflected is the base… more
- Neuberger Berman (New York, NY)
- …experience in role of senior lawyer with compliance responsibilities, or senior compliance officer (or CCO) for registered funds + Strong knowledge ... Chief Compliance Officer for over $55 billion...of direct reports + Ability to work closely with senior business and management in fast-paced, results oriented environment… more
- Tradeweb (New York, NY)
- Tradeweb Compliance is looking for a junior to mid-level compliance officer to support our core compliance functions across our regulated entities ... have a reporting line to a supportive and experienced compliance officer based in New York. You...key findings and areas of improvement to members of senior management within compliance + Monitoring and… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Compliance Officer for the **Auto Lending** Business Aligned Compliance (BACO) Team as part of **Consumer ... rules and policies inherent in its business and have established controls to promote compliance . This Lead Compliance Officer will be assigned to support… more
- Wells Fargo (Irving, TX)
- **About this role:** Wells Fargo is seeking a Lead Compliance Officer for the Auto Lending Business Aligned Compliance (BACO) Team as part of Consumer ... Lending Compliance . The Lead Compliance Officer will be responsible...thought leader and proactively present concerns and escalations to senior management + MBA, JD, Bachelor's degree, Paralegal degree,… 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 ... 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… more
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