- Citigroup (Jersey City, NJ)
- Serves as a compliance testing officer for Independent Compliance Risk Management (ICRM)'s Independent Assessment team responsible for assessing ... to address reported issues. Key Activities include: + Developing, implementing, and executing compliance testing and reporting programs in accordance with the … more
- NatWest Markets (Stamford, CT)
- Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer Stamford,United States Permanent Full Time \#R-00244248 Our people work differently ... the proper operations of the department and the business._ Senior Monitoring and Testing Compliance Assurance Officer reportingto the US General Counsel… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM) testing team responsible for assessing compliance risks and ... + Participating in the planning, executing, and reporting of compliance testing reviews and regulatory issue validation...middle and back office Operations activities within the Global Markets business, in accordance with the Compliance … more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing compliance risks and ... reported issues. **Key Activities include:** + Developing, implementing, and executing compliance testing , continuous assurance, and reporting programs within an… 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
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 219504 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range shown is a ... in an inclusive and high-performing culture. **Global Banking and Markets ** Global Banking and Markets (GBM) is...issues and execute action plans for Internal Audit and Compliance Testing findings assigned to Compliance… more
- Citigroup (Tampa, FL)
- …deliverables across the Markets Controls Assessment and Testing team. The Markets Controls Assessment Officer will be part of a team of approximately 6-7 ... The Markets Control Testing Utility is responsible...and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… more
- Scotiabank (Houston, TX)
- …(GS), Mortgage Capital Markets , Structured Credit and Equity Research businesses. The Compliance Officer will serve as (1) primary compliance advisory ... Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary...are in place as appropriate. + Provide support for Compliance testing , Audits, Regulatory Exams and Inquiries… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Independent Testing Officer to support Independent Testing & Validation (IT&V) as part of Corporate Risk. ... levels of management, including senior leaders and executives. + Experience in Audit, Compliance , Risk and Testing or other applicable business experience. **Job… more
- Citigroup (New York, NY)
- Opening is for a Market Risk Officer focused on North America NAM G10 Linear Rates desk. Successful candidate would join an existing team based in NYC focused on ... North America Rates Trading business is a significant component of a global markets franchise providing interest rate market -making and solutions to customers.… more
- Honeywell (Phoenix, AZ)
- Senior Export Compliance Officer for Training & Communications Clearwater, FL #hybrid after first 90 days The future is what you make it. When you join ... Honeywell International Inc. is seeking candidates for an opportunity as a Senior Export Compliance Officer , who will report directly to a director on the… more
- City National Bank (Charlotte, NC)
- * COMPLIANCE OFFICER * WHAT IS THE OPPORTUNITY?..., and Risk Assessment team with the evaluation of compliance testing program and processes. * Performs ... Compliance Manager, Senior Compliance Officer...test results along with comparable line of business QA testing results. * Conduct meetings to discuss testing… more
- TD Bank (New York, NY)
- …you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS US ... and covers the TDS US businesses. This Senior Compliance Officer will also support other aspects...process and track issues to closure. + Assist the Compliance Testing Team, as needed, on monitoring… more
- City National Bank (New York, NY)
- …with comparable line of business QA testing results. * Work with Senior Compliance Officer , Compliance Manager to maintain audit tracking logs and other ... * COMPLIANCE OFFICER * WHAT IS THE OPPORTUNITY?..., and Risk Assessment team with the evaluation of compliance testing program and processes. * Perform… more
- City National Bank (Los Angeles, CA)
- * COMPLIANCE PROGRAM OFFICER * WHAT IS THE... compliance risk appetites are exceeded. * Perform compliance testing and monitoring activities to ensure ... OPPORTUNITY? The Compliance Program Officer 's primary duty is to ensure the company is...and procedure. * Assist with performing risk assessments and compliance testing to monitor compliance … more
- Zions Bancorporation (Salt Lake City, UT)
- …strategies that feed into Zions Capital Markets . We are currently seeking a SOX Compliance Officer to join our team. The focus of this role is working with ... Oregon, Texas, Utah, Washington, and Wyoming. With a leading market share in small and middle- market banking,...determine deficiency classification. + Participate and support in SOX compliance testing performed by internal and external… more
- Nuveen Investments (Frisco, TX)
- **Nuveen Compliance Officer ** This position is responsible for executing Compliance Testing on behalf of Nuveen and any of its US-based subsidiaries. ... Compliance Testing is performed pursuant to Nuveen ...to help educators retire with dignity, today weʼre a market -leading retirement company fueled by world-class asset management. But… more
- Citigroup (New York, NY)
- …on internal policies and procedures. This role is in support of the Chief Compliance Officer (CCO) of the Futures Commission Merchant and covers the FDC ... Serves as a senior function/business/product compliance risk officer for Independent ...inquiries and internal and external investigations, as well as testing and audit. + Designing and lead compliance… more
- ManpowerGroup (Midland, TX)
- Our client, a leader in the financial services industry, is seeking an Audit Compliance Officer to join their team. The ideal candidate will have strong ... will align successfully in the organization. **Job Title:** Audit Compliance Officer **Location:** Midland, Texas (Need to...of FINRA, SEC, and MSRB regulations. + Experience in Compliance Testing , Quality Assurance, or Internal Audit.… more
- Bloomberg (New York, NY)
- …Head of Employee Compliance .** **What's the Role?** **We are seeking a Compliance Officer with deep E-Comms Surveillance & Monitoring experience. You will be ... to you to make it happen.** **Bloomberg's Legal & Compliance Department plays a critical role in supporting our...program.** **Our Team** **As an Electronic Communications (E-Comms) Surveillance Officer , you'll be a critical member of the Employee… more