- SMBC (New York, NY)
- …findings or recommendations; + M&T findings or recommendations; and/or + Observations by Compliance officer or business staff member + Coordinate with relevant ... Management + Compliance Training + Issues Management + Monitoring & Testing + Compliance Risk Assessment + Communications and Transaction Surveillance +… more
- SMBC (Charlotte, NC)
- …to comply with regulations (eg, Swap Dealer recordkeeping, SEC and FINRA WORM compliance , FRB/OCC/FDIC Disaster Recovery testing ). - Prepare and present risk and ... range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees… more
- SMBC (Jersey City, NJ)
- …The role will work closely with the SMBC Nikko Securities America, Inc., Chief Compliance Officer , SMBC Americas Division Head of Ethics Office, business unit ... range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees… more
- Banc of California (Santa Ana, CA)
- …the full lifecycle from issue identification through remediation, validation testing , and final closure. Ensure timely resolution and accurate documentation ... timely and accurately by management. + Evaluates and monitors compliance with Credit Policies, Standards, and Procedures to ensure...credit administration, or as a commercial lender, or credit officer with a proven track record of assessing credit… more
- SMBC (Charlotte, NC)
- …range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees ... The Data Management Department Americas Division (DMDAD) of the Chief Data & Analytics Officer (CDAO) works with group companies and functional areas on a wide range… more
- KeyBank (Cleveland, OH)
- **Location:** 4910 Tiedeman Road - Brooklyn, Ohio 44144 **JOB BRIEF** The Compliance Officer will be a member of the Consumer Deposit Compliance team ... business. Additionally, the Compliance Officer will conduct compliance monitoring and testing to ensure compliance risks are mitigated according to… more
- KeyBank (Chicago, IL)
- **Location:** 4910 Tiedeman Road - Brooklyn, Ohio 44144 The Senior Compliance Officer will be a member of the Consumer Deposit Compliance team within ... to consumer deposit accounts. Additionally, The Senior Compliance Officer will conduct compliance monitoring and testing to ensure compliance… more
- FirstBank PR (San Juan, PR)
- Compliance Officer Our Company At FirstBank PR, we strive to be a trusted advisor to our clients and our employees are the ones that ensure we deliver on our ... number one place for you. A Brief Overview The Compliance Officer supports the effective implementation of...trends, risk exposure, control effectiveness, and residual risks. + Compliance Testing and Reporting Plan : Keep… more
- KeyBank (Columbus, OH)
- …second line of defense Compliance Risk Management function, the Complaint's Management Compliance Officer is responsible for helping to execute a robust and ... strong focus on risks and controls. + Knowledge of internal controls, compliance testing and monitoring processes (including analytics), and applicable… more
- KeyBank (Albany, NY)
- **Location:** 4910 Tiedeman Road - Brooklyn, Ohio 44144 The Operational Risk Officer position resides in the 2nd Line of Defense within KeyCorp's Operational Risk ... group and will be responsible for executing risk oversight activities for Consumer Lending activities and various assigned operational and enterprise risk programs,… more
- First Horizon Bank (Memphis, TN)
- …On site at location listed in job posting **SUMMARY** The Senior Risk Compliance Officer supports First Horizon Bank's internal control framework by designing, ... education and experience 3. Previous experience in risk management, internal audit, compliance , or control testing preferred. 4. Familiarity with relevant… more
- KeyBank (Brooklyn, OH)
- …CIP, CDD, EDD), OFAC, Fraud compliance regulations and laws including banking/ consumer compliance regulations and laws, industry trends, emerging issues, and ... (CAFP), Certified Fraud Examiner (CFE), etc.). . Prior financial services compliance testing experience leveraging risk-based auditing techniques. . Experience… more
- MyFlorida (Orlando, FL)
- …. Requisition No: 864182 Agency: Agriculture and Consumer Services Working Title: COMPLIANCE ... 11/01/2025 Total Compensation Estimator Tool (https://compcalculator.myflorida.com/) COMPLIANCE OFFICER FLORIDA DEPARTMENT OF AGRICULTURE AND CONSUMER … more
- MyFlorida (Yulee, FL)
- …. Requisition No: 863884 Agency: Agriculture and Consumer Services Working Title: LAW ENFORCEMENT K-9 ... Date: 10/31/2025 Total Compensation Estimator Tool (https://compcalculator.myflorida.com/) LAW ENFORCEMENT OFFICER (K-9) FLORIDA DEPARTMENT OF AGRICULTURE AND CONSUMER… more
- JPMorgan Chase (Jersey City, NJ)
- …quo and striving to be best-in-class. As an Employee Conduct Senior Officer supporting the Global Anti-Corruption Compliance (GACC) and Government Engagement ... Review and disposition pre-clearance requests and potential policy breaches. + Coordinate testing plans, audits, and reporting for anti-corruption compliance . +… more
- Zions Bancorporation (Salt Lake City, UT)
- …clients and executing compliance frameworks, while maintaining regulatory compliance with financial consumer protection laws and regulations. **Location ... areas of Compliance , such as: Deposit Operations, Privacy, Digital, Credit, Testing , and more to ensure alignment with regulatory standards. + Apply regulatory… more
- BMO Financial Group (Milwaukee, WI)
- … compliance program. Coordinates and performs risk assessment, monitoring, testing and surveillance activities to ensure program remains current and aligned ... compliance controls. + Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and… more
- MyFlorida (Lake City, FL)
- …. Requisition No: 863960 Agency: Agriculture and Consumer Services Working Title: DUTY OFFICER ... Closing Date: 11/12/2025 Total Compensation Estimator Tool (https://compcalculator.myflorida.com/) DUTY OFFICER FLORIDA DEPARTMENT OF AGRICULTURE AND CONSUMER … more
- MyFlorida (Cottondale, FL)
- …. Requisition No: 863361 Agency: Agriculture and Consumer Services Working Title: LAW ENFORCEMENT OFFICER ... Date: 10/31/2025 Total Compensation Estimator Tool (https://compcalculator.myflorida.com/) LAW ENFORCEMENT OFFICER FLORIDA DEPARTMENT OF AGRICULTURE AND CONSUMER … more
- Sacramento County (Sacramento, CA)
- Sheriff's Community Services Officer I Print (https://www.governmentjobs.com/careers/sacramento/jobs/newprint/4009417) Apply Sheriff's Community Services ... Officer I Salary $56,355.12 - $68,507.28 Annually Location Sacramento,...the Fair Credit Reporting Act and the California Investigative Consumer Reporting Agencies Act. License Requirement: Possession of a… more
Related Job Searches:
Compliance,
Compliance Officer,
Compliance Testing,
Consumer,
Officer,
Testing,
Testing Compliance Officer