• Compliance Testing Officer

    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 (10/31/24)
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  • Compliance Testing Officer

    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
    Citigroup (09/06/24)
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  • Compliance Independent Assessment…

    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
    Citigroup (08/22/24)
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  • FINRA Licensed (7, 66, 24)- Compliance

    Truist (Atlanta, GA)
    …America) **Please review the following job description:** Responsible for conducting compliance risk oversight of assigned business units and/or functions. Executes ... compliance risk management activities to reasonably ensure ... School or CRCM certification 5. Knowledge of Capital Markets 6. FINRA Registrations 7, 24 and 66 or… more
    Truist (10/09/24)
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  • Senior Manager, Markets Compliance

    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 ... 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
    Scotiabank (10/22/24)
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  • Corporate & Investment Banking Markets

    Wells Fargo (Charlotte, NC)
    …a Lead Control Management Officer . This position will be in the CIB Markets Business Control organization, partnering closely with CIB COO and the CIB Markets ... are accountable for execution of all applicable risk programs (Credit, Market , Financial Crimes, Operational, Regulatory Compliance ), which includes effectively… more
    Wells Fargo (10/30/24)
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  • Senior Capital Markets Group Risk…

    Truist (Atlanta, GA)
    …personnel, subject matter experts, auditors, model risk management personnel, and the Chief Market and Liquidity Risk Officer (CMLRO) in order to maintain ... **Please review the following job description:** As a senior member of the Market and Liquidity Risk Management (MLRM) team within the Risk Management Organization… more
    Truist (10/17/24)
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  • Vice President - Global Markets Credit…

    Bank of America (New York, NY)
    Vice President - Global Markets Credit Commodities Credit Officer Charlotte, North Carolina;Dallas, Texas; New York, New York; Houston, Texas **Job ... evaluation of Problem Assets, some limit approval authority and reporting of capital markets credit risk. The Credit Officer will primarily interface with the… more
    Bank of America (10/30/24)
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  • Business Risk and Control Senior Officer

    Citigroup (Getzville, NY)
    The Business Risk and Control Sr Officer I is a strategic professional who closely follows latest trends in own field and adapts them for application within own job ... process (QA). + Assist management in exercising control over Operational and Compliance Risk in accordance with established Policy requirements. + Help management… more
    Citigroup (10/12/24)
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  • Lead Independent Testing Officer

    Wells Fargo (Charlotte, NC)
    **About this role:** Wells Fargo is seeking a Lead Independent Testing Officer in Independent Testing & Validation (IT&V) as part of Corporate Risk. Learn ... and Validation Team is seeking a Lead Independent Testing Officer to support the IT&V Customer...accountable for execution of all applicable risk programs (Credit, Market , Financial Crimes, Operational, Regulatory Compliance ), which… more
    Wells Fargo (10/29/24)
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  • Senior Capital Market Risk Officer

    Truist (Atlanta, GA)
    …leadership, or active participation, in various governance committees for the Capital Markets Risk Management teams spanning Trading Market Risk, Counterparty ... compliance efforts for regulatory requirements/guidance. 4. Responsible for ensuring compliance with regulatory rules ( Market Risk Rule, FRTB, Volcker Rule,… more
    Truist (10/17/24)
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  • Market Business Service Officer

    Morgan Stanley (Boston, MA)
    …service by modernizing our client experience through an elevated standard of care. The Market Business Service Officer (MBSO) will work closely with the ... the Business Service Officers and Service Managers within the Market . The Market Business Service Officer...Manage risk and assure positive audit results throughout the Market in partnership with Risk and Compliance more
    Morgan Stanley (09/07/24)
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  • Code Compliance Officer (City…

    City of Littleton (Littleton, CO)
    …for this position with the City of Littleton. **Starting pay range for** **Code Compliance Officer (Basic) $28 - $31 per hour** **Starting pay range for** ... best talent and our strategies include **hiring in at market pay** and creating career development opportunities. In addition...**Senior Code Compliance Officer $31 - $34 per hour**… more
    City of Littleton (10/10/24)
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  • Compliance Officer , Americas

    Wellington (Boston, MA)
    …aligns our perspectives with those of our clients. **About the Role** The Compliance Officer will support Wellington Management's compliance program, ... that span nearly all segments of the global capital markets . Our investment solutions, tailored to the unique return...these growth initiatives and implementing enhancements where necessary. The Compliance Officer will be a member of… more
    Wellington (08/27/24)
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  • Chief Compliance & CRA Officer

    Thrivent Financial (Salt Lake City, UT)
    …in the areas of compliance risk assessments, regulatory change management, compliance testing & monitoring, and issue management workflows. Certificates or ... life they want today-and tomorrow. Job Summary The Chief Compliance & CRA Officer reports to the...Bank's Community Reinvesment Act Program as well as broad Compliance activities, Compliance Assurance Testing ,… more
    Thrivent Financial (09/18/24)
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  • Senior Compliance Officer

    Wellington (Boston, MA)
    …Therefore, a key responsibility of the role is to work with the Chief Compliance Officer to build-out, manage and execute the compliance infrastructure ... Group and will report to the Private Investments Chief Compliance Officer , working closely with other ...Coordinate enhancements to supervisory processes, internal controls and internal testing + Collaborate with EMEA and APAC compliance more
    Wellington (10/14/24)
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  • Chief Compliance Officer

    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 ... rules, regulations, and procedures. + Develop and execute monitoring and testing of business activities, including the annual compliance program review,… more
    SMBC (09/10/24)
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  • Broker Dealer Chief Compliance

    Tradeweb (New York, NY)
    …functions including implementation of written supervisory procedures, policies, training, annual testing , transaction monitoring and AML compliance + Manage the ... electronic trading. Tradeweb Markets LLC ("Tradeweb") is proud to be an EEO Minorities/Females/Protected Veterans/Disabled/Affirmative Action Employer. https://www.dol.gov/ofccp/regs/ compliance more
    Tradeweb (08/10/24)
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  • Compliance Officer II- Consumer Loan…

    Fifth Third Bank, NA (Grand Rapids, MI)
    …to Regulatory Monitoring and Change management Program ownership. + Recommend protocols for compliance testing . + Contribute updates to the compliance risk ... strength and succession planning; recognizing and rewarding employees for accomplishments. Compliance Officer II- Consumer Loan Servicing-Remote Grand Rapids, MI… more
    Fifth Third Bank, NA (10/16/24)
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  • Compliance Officer

    Amalgamated Bank (New York, NY)
    Amalgamated Bank is seeking a Compliance Officer to assist the Consumer Compliance Officers to ensure the Bank's loan, deposit products and services maintain ... relative to lending, deposit, and loan servicing regulations. + Collaborate with Chief Compliance Officer in executing the Bank's Compliance Management… more
    Amalgamated Bank (09/27/24)
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