- 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
- Banc of California (Santa Ana, CA)
- …banks focused on providing banking and treasury management services to small, middle- market , and venture-backed businesses. Banc of California offers a broad range ... a second "line of defense" role and reports directly to the Chief Risk Officer ("CRO") of the Company to ensure proper independence. The successful CISO will… more
- HSBC (New York, NY)
- US Chief Risk Officer , Asset Management and Wealth Brand: HSBC Area of Interest: Risk and Compliance Location: New York, NY, US, 10001 Work style: Hybrid Worker ... Date: 8 Nov 2025 In compliance with applicable laws, HSBC is committed to employing...the planet we all share The US Chief Risk Officer , Asset Management (AM) and Wealth (CRO) is responsible… more
- Banc of California (Santa Ana, CA)
- …banks focused on providing banking and treasury management services to small, middle- market , and venture-backed businesses. Banc of California offers a broad range ... WIN(R) **THE OPPORTUNITY** The VP, Senior Business Continuity Planning Officer role is a key role that is second...changes to business operations occur, or as identified through testing and audits or exams. + Exercises: Plans, conducts,… more
- SMBC (Charlotte, NC)
- …Mitsui Finance and Leasing Co., Ltd. **Role Description** The Director, IT Functional Control Officer (FCO) for Capital Markets /Nikko is a change agent and risk ... to comply with regulations (eg, Swap Dealer recordkeeping, SEC and FINRA WORM compliance , FRB/OCC/FDIC Disaster Recovery testing ). - Prepare and present risk and… more
- Terumo Medical Corporation (Somerset, NJ)
- Sr. Corporate Counsel & Chief Privacy Officer Date: Oct 22, 2025 Req ID: 5109 Location: Somerset, NJ, US, 08873 Company: Terumo Americas Holding, Inc. Department: ... TAH Legal Terumo Medical Corporation (TMC) develops, manufactures, and markets a complete, solutions-based portfolio of high-quality medical devices used in a broad… 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 ... clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's...the current compensation paid in their geography and the market for similar roles at the time of hire.… more
- Banc of California (Santa Ana, CA)
- …banks focused on providing banking and treasury management services to small, middle- market , and venture-backed businesses. Banc of California offers a broad range ... financial reporting and accounting policies meet the highest standards of accuracy, compliance and transparency. This role reports directly to the Chief Accounting … more
- Banc of California (Los Angeles, CA)
- …banks focused on providing banking and treasury management services to small, middle- market , and venture-backed businesses. Banc of California offers a broad range ... and agreed-upon scope for diligence in conjunction with the Credit/Investment Officer (diligence may be performed on-site or remotely depending upon transaction… more
- City of Littleton (Littleton, CO)
- …and financial stewardship? Do you have a strong understanding of grant accounting, compliance , and project management? The City of Littleton is seeking a **Grant ... and retaining the best talent and our strategies include **hiring in at market pay** and creating career development opportunities. In addition to your application,… more
- Banc of California (Santa Ana, CA)
- …banks focused on providing banking and treasury management services to small, middle- market , and venture-backed businesses. Banc of California offers a broad range ... the full lifecycle from issue identification through remediation, validation testing , and final closure. Ensure timely resolution and accurate documentation… more
- Hawaiian Electric (Pearl City, HI)
- …with operational areas, oversees implementation of, and carries out routine safety compliance programs. Serves as a champion of a sustained zero-incident safety ... operations division management, removes barriers and roadblocks to ensure safety compliance with all applicable requirements, including but not limited to existing… more
- City of Littleton (Littleton, CO)
- …and taxpayers, helping them navigate sales and use tax requirements, maintain compliance , and support efficient tax collection operations. This position plays a key ... and retaining the best talent and our strategies include **hiring in at market pay** and creating career development opportunities. In addition to your application,… more
- Signature Aviation (Honolulu, HI)
- …Transfer Operations and Maritime Security (MARSEC). Act as the Facility Security Officer . + Provide audit response and corrective action as necessary for recurring ... maintenance and regulatory compliance requirements. + Work with engineers on design criteria...+ Must pass pre-employment drug screen and all pre-employment testing + Must hold a valid drivers' license +… more
- Mission Support and Test Services (Mercury, NV)
- …and mission requirements. + Maintain the conduct range safety briefings and ensure compliance with Department of Energy (DOE) Order 473.2A, 10 CFR 1046, and other ... mask fit. + Knowledge of Basic Readiness security police officer requirements, to include mental alertness and reliable judgment....maintains a substance abuse policy that includes random drug testing . + Must possess a valid driver's license. MSTS… more
- Zions Bancorporation (Salt Lake City, UT)
- …we bring the opportunity. **We are currently seeking a** **Risk and Compliance Testing Officer ** **within the Market , Liquidity, Wealth Risk & ... under local brands and management teams in high-growth western markets . Zions is regularly recognized by _American Banker_ magazine...A Market , Liquidity, and Wealth Risk & Compliance (MLW) Testing Officer works… more
- MUFG (Irving, TX)
- …reviews on the Sales & Trading business units with focus on the Markets Compliance program. The Compliance Officer will work closely with ACT teammates ... assessment of the Swap Dealer program, Volcker Rule program, Market Conduct, Market Access, Desk, Branch and...markets compliance , markets surveillance, compliance monitoring, auditing or testing reviews and/or… 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
- Bloomberg (New York, NY)
- Risk Assurance & Controls Testing Officer - Chief Risk Office Location New York Business Area Legal, Compliance , and Risk Ref # 10047142 **Description & ... **What's The Role?** As a Risk Assurance and Controls Testing Officer on our RATO team, you...+ Support the Global Head RCSS, the global Chief Compliance Officer , the global Chief Risk … more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS US Compliance ... businesses, working with regional teams across the globe. This Compliance Officer will also support other aspects...to learn new regulatory areas impacting products, behaviors and market participants. + Knowledge of testing or… more
