- State of Minnesota (St. Paul, MN)
- **Working Title: Compliance Services Officer Senior ** **Job Class: Compliance Services Officer Senior ** **Agency: Labor & Industry Dept** + **Job ... + **Division/Unit** : Dept of Labor & Industry / Compliance #2 + **Work Shift/Work Hours** : 8:00 am...required forms filing. Contact the claim administrator to resolve compliance issues. + Provide proactive assistance and educational outreach… 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
- Banco Popular Puerto Rico (San Juan, PR)
- …Nov 22, 2024 Location: San Juan, PR Company: Popular Workplace Type: Hybrid Senior Compliance Officer General Description This position requires providing ... are defined as deficient practices that result in the actual or potential non- compliance with any law or regulation that addresses consumer protection, that are… more
- Randstad US (Charlotte, NC)
- senior compliance officer - auto lending. + charlotte , north carolina + posted november 8, 2024 **job details** summary + $91.09 - $96.09 per hour + ... job summary: Hybrid 3 days on-site in Charlotte, NC + Top Skills: + -Lending Compliance + -RCSA, regulatory knowledge + Qualifications: + 7+ years Compliance +… more
- Banco Popular Puerto Rico (San Juan, PR)
- Date: Nov 6, 2024 Location: San Juan, PR Company: Popular Workplace Type: Hybrid Senior Compliance Officer General Description * This position requires ... support to business and support units in managing complaint trends or regulatory compliance issues identified as a result of complaint analysis by ensuring proper… more
- Citigroup (Getzville, NY)
- Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, ... execution of initiatives that support timely and effective completion of Compliance transformation milestones. + Managing the day-to-day operations of Compliance… more
- JPMorgan Chase (Tampa, FL)
- …quo and striving to be best-in-class. As a Compliance - Monitoring and Testing Senior Officer - Senior Associate in our global/regional Compliance ... Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the… 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 about the...+ Execute RCM standards and program maintenance to drive compliance with federal, state, agency, legal and regulatory and… more
- Citigroup (Tampa, FL)
- …(including the Chief Legal Officer , the Head of HR, the Chief Compliance Officer , other senior management, the Compensation, Performance Management and ... Based in Tampa, Florida or Irving, Texas, the Ethics Officer (an SVP) will report to a Director in...analysis of reports to be distributed to board committees, senior management, auditors and regulators, including on the Ethics… more
- Citigroup (Tampa, FL)
- Serves as a compliance conduct risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, ... and monitoring of conduct risk related issues. + Reviewing materials to ensure compliance with various regulatory expectations to ensure compliance & operational… more
- Citigroup (Tampa, FL)
- Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing ... with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating… more
- Prime Therapeutics (Columbus, OH)
- …prepare and maintain records and related documentation for reporting to the Chief Compliance Officer , Prime's senior leadership team, executives, Corporate ... and drives every decision we make. **Job Posting Title** Senior Compliance Analyst (Interpretation and Advising) -...Reports to Sr Professional, Manager, Director or Senior Director in the Compliance department Potential… more
- Truist (Atlanta, GA)
- …**Please review the following job description:** Responsible for conducting and directing compliance risk oversight of Sales & Trading business units such as ... issues of regulatory concern, inappropriate behavior and market manipulation. Executes compliance risk management activities to reasonably ensure compliance with… more
- 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
- 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
- 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
- Prime Therapeutics (Columbus, OH)
- …prepare, and maintain records and related documentation for reporting to the Chief Compliance Officer , Prime's senior leadership team, Executives, Corporate ... Analyst (Regulatory Intelligence and Assessment) - Remote **Job Description** The Senior Compliance Analyst assists in the implementation of Prime's … more
- Citigroup (Irving, TX)
- The Compliance Anti-Money Laundering (AML) Risk Management Senior Officer is a senior level position within the US Personal Bank Cards line of businesses ... firm-wide AML risk management policy and strategic direction + Maintain AML compliance program for the business including assessment of risks and the development… more
- Ankura (NY)
- …internal controls, and systems processes; + Prepare compliance reports for Compliance Officer , Senior Management, and/or Board; + Assist clients ... Conduct independent regulatory program reviews and Testing; + Drafting BSA/AML compliance programs and developing training for FinTech's and broker-dealers. +… more
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