- 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
- 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
- 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 + ... on-site in Charlotte, NC + Top Skills: + -Lending Compliance + -RCSA, regulatory knowledge + Qualifications: + 7+...+ -RCSA, regulatory knowledge + Qualifications: + 7+ years Compliance + Significant experience with lending compliance ,… more
- Ventura County (Ventura, CA)
- Senior Code Compliance Officer Print (https://www.governmentjobs.com/careers/ventura/jobs/newprint/4739213) Apply Senior Code Compliance Officer ... elected-by-district Board of Supervisors. The Supervisors appoint a County Executive Officer (CEO) to oversee the County budget, day-to-day operations, and to… more
- Wells Fargo (St. Louis, MO)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to lead _Audit Response and SWAT efforts_ as part of Corporate Compliance ... partners on risk related topics. + Interpret policies, procedures, and compliance requirements. + Interface with Internal Audit, Legal, external agencies, and… more
- Wells Fargo (Dallas, TX)
- **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
- 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
- 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 ... support of the Bank's business strategies and objectives. Provide advice on compliance with governing regulations and Bank internal policies and procedures. **What… 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
- 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 (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
- The Boeing Company (Everett, WA)
- …with us. Boeing's Law and Global Compliance │Ethics organization is seeking a ** Senior Site Compliance and Ethics Officer ** (SCEO) to support Everett, ... + Leads, executes and integrates business partner engagements and Ethics and Compliance strategic initiatives + Influences senior leadership to increase… more
- 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
- 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
- NatWest Markets (Stamford, CT)
- Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer Stamford,United States Permanent Full Time \#R-00244248 Share: ... (https://jobs.natwestgroup.com/jobs/15076523- senior -monitoring-and-testing- compliance -assurance- officer -swap-dealer/apply?tm\_src=0) Our people work differently… 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
- Citigroup (Washington, DC)
- 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
- Citigroup (Getzville, NY)
- Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, ... consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice… 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