- City National Bank (Los Angeles, CA)
- * COMPLIANCE OFFICER SENIOR * WHAT IS THE OPPORTUNITY? The Senior Compliance Officer within the Fair and Responsible Banking Department is ... responsible for managing and maintaining assigned areas of the compliance program covering Fair and Responsible Banking including monitoring business area … more
- Bloomberg (New York, NY)
- Senior Compliance Officer - Management Information (MI) AND Governance Reporting Lead - Legal & Compliance Bloomberg's Legal & Compliance Department ... areas of focus for our stakeholders (including our Chief Compliance Officer and Executive Management). The successful...review. - Recommend topics and insights for reporting to Senior Management. - Support ad hoc reporting and data… 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
- Deluxe (Minneapolis, MN)
- The Senior Compliance Officer is the "owner" and subject matter expert of regulation or business-area specific enterprise-wide compliance programs. This ... role performs a key function by advising on compliance processes and compliance -related issues and providing...the growth and development of the business at a senior organizational and commercial level. Job Functions: + Oversees… more
- Edward Jones (St. Louis, MO)
- …with financial advisors, branch staff, leaders, peers, and others in the firm. A Senior Compliance Officer has a relatively broad responsibility to deal ... If so, there is an exciting career opportunity waiting for you in our Compliance Service Department! The Compliance Service Department's purpose is to serve as… 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
- Citigroup (New York, NY)
- **Job Description** Serves as a Senior Compliance Risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing and ... the Citi program framework. **Responsibilities:** + Coverage of the Compliance Data & Systems Transformation Workstream focusing on the...to influence and lead people across cultures at a senior level + Experience in managing regulatory exams 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
- JPMorgan Chase (New York, NY)
- 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 ... impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and… more
- Truist (Charlotte, NC)
- …**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
- 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 ... fuels our passion and drives every decision we make. **Job Posting Title** Senior Compliance Analyst (Interpretation and Advising) - Remote **Job Description**… more
- JPMorgan Chase (Jersey City, NJ)
- …outside the box, challenging the status quo and striving to be best-in-class. As a Compliance Risk Officer - Senior Associate on the Consumer and Community ... As part of Risk Management and Compliance , you are at the center of keeping...Banking (CCB) Global Financial Crimes Compliance (GFCC) team,you will be support New Business Initiative… 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
- Ankura (FL)
- …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
- CIBC (Chicago, IL)
- …innovative and relationship-oriented bank for a modern world. **What you'll be doing** The Senior Compliance Officer will support CIBC Bank USA and CIBC ... that the Bank adheres to all applicable laws, regulations, and internal policies. The Senior Compliance Officer reports to the Deputy Chief Compliance … more
- ICF (Cupey, PR)
- …degree and/or experience will not alter this range. The Regulatory Compliance Officer will work onsite with senior ICF staff, subject matter experts, and ... Description **ICF's Disaster Management Division** is seeking a **Disaster Recovery Regulatory Compliance Officer ** who will support and monitor local government… more
- Citigroup (Tampa, FL)
- Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, ... from across the firm and work with contacts in the Business and Compliance to ensure consistent and effective application and implementation of, and controls to… more
- Honeywell (Aguadilla, PR)
- As a Senior Export Compliance Officer here at Honeywell, you will play a crucial role in ensuring that our company operates within the boundaries of export ... and regulations. You will be accountable for developing and implementing export compliance policies, procedures, and strategies to ensure that our business units… more