- DWS Group (New York, NY)
- Job Description: Employer: DWS Group Title: AFC Compliance Officer (AFC & Compliance Officer) Location: New York City Job Code: #LI-LV2 #LI-02 About DWS: Today, ... that DWS acts with integrity and discipline with regards to the legal and regulatory requirements of the Anti-Money Laundering regime. One of its objectives is the… more
- Sungage Financial (Boston, MA)
- …and attention to detail Minimum of 3 years experience in the area of regulatory compliance and financial services Interest in solar/sustainability a plus COVID- ... of compliance regulations Monitor contractual reporting obligations and obligations with bank and flow partners Provide support for regulatory , bank … more
- DWS Group (New York, NY)
- …and processes. Assist in tracking/management of annual tax returns/1099s/K-1's, regulatory reporting requirements and loan compliance requirements. Collaborate ... teams involved in the product development process including Portfolio Management, Compliance , Governance, and Client Servicing & Marketing. Primary contact and first… more
- City National Bank (New York, NY)
- …procedures to ensure secure maintenance and quality of records. * Comply fully with all Bank Compliance policies and procedures as well as all regulatory ... Senior Compliance Officer will act in a compliance oversight and advisory role supporting assigned...Bachelor's Degree or equivalent * Minimum 7 years of compliance , regulatory compliance with respect… more
- TD Bank (New York, NY)
- …Description:** **Preferred Qualifications:** We are looking for a Vice President, US Markets Compliance Advisory to join our team in NYC. The ideal candidate ... must have compliance advisory experience with background in OTC...updating, and implement relevant policies and procedures. + Provide regulatory / compliance training. + Participate in internal investigations,… more
- TD Bank (New York, NY)
- …We are looking for a Vice President, Compliance - US Corporate Investment Banking Compliance Advisory to join our team in NYC. The ideal candidate must have ... personnel and relevant control personnel. **Position Requirements** + 5-7+ years of compliance advisory experience. Similar experience with a regulator or law… more
- TD Bank (New York, NY)
- …units to manage their regulatory risk. The successful candidate should have compliance advisory experience in Equity Research business lines and will focus ... + Support the Firms build out and ongoing support of the Firms Regulatory Compliance Management Framework including Rules mapping, control mapping and ongoing… more
- Byline Bank (Chicago, IL)
- …job at any time._ **Qualifications** : + Bachelor's Degree, required. + Certified Regulatory Compliance Manager (CRCM), preferred. + 5+ years of progressively ... : The Compliance Officer helps oversee the Compliance Management System of Byline Bank . The... policies, procedures, practices and other activities to assure compliance with applicable regulatory laws, rules and… more
- Huntington National Bank (Charlotte, NC)
- … Risk Director of Fair and Responsible Banking (Director) with providing regulatory compliance guidance and oversight in Fair Lending, Responsible Banking ... Compliance Group Manager - FRB - Program / Advisory Job Description: The Compliance Group Manager.... 5 or more years of applicable experience in regulatory compliance , legal, or operational risk management.… more
- Capital One (Mclean, VA)
- Principal Risk Advisor, Consumer Advisory | Retail Bank Capital One, a Fortune 500 company and one of the nation's top 10 banks, offers a broad spectrum of ... implement innovative solutions? As a member of the Consumer Advisory risk team within the Retail Bank ...Audit and Exam Management - Provide support to Consumer Advisory during audits and regulatory exams; support… more
- US Bank (Earth City, MO)
- At US Bank , we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the ... is unique in their potential. A career with US Bank gives you a wide, ever-growing range of opportunities...**Job Description** SUMMARY The Merchant Payment Services (MPS) Risk Advisory position supports the MPS Global Airlines team by… more
- Huntington National Bank (Detroit, MI)
- …and cost efficiency. + Implement robust risk management practices to ensure compliance with regulatory requirements and mitigate potential risks. + Develop ... and maintain effective internal controls and processes to safeguard the bank 's assets. + Recruit, train, and mentor a high-performing team of banking professionals.… more
- Huntington National Bank (Westlake, OH)
- …Works with relationships of moderate to high complexity. + Knowledgeable on key compliance and regulatory requirements. + Performs other duties as assigned. ... Description Summary: The Private Bank Wealth Advisor II is the primary client...hire + At least 3 years of wealth management/financial advisory /sales/relationship management experience in banking, investment management, or insurance… more
- Huntington National Bank (Chicago, IL)
- …Works with relationships of moderate to high complexity. + Knowledgeable on key compliance and regulatory requirements. + Performs other duties as assigned. ... Description Summary: The Private Bank Wealth Advisor IV is the primary client...hire + At least 5 years of wealth management/financial advisory /sales/relationship management experience in banking, investment management, or insurance… more
- BMO Financial Group (New York, NY)
- …results by providing oversight and making recommendations that significantly impact the Bank 's ability to monitor regulatory compliance programs, minimize ... assist with compliance requirements in these initiatives. + Ensure effective regulatory compliance controls and monitoring. + Identify and advise on emerging… more
- Citigroup (Jersey City, NJ)
- …by Artificial Intelligence. + Strong understanding of wealth management products, services, regulatory landscape, and the evolving digital advisory ecosystem. + ... **Overview of Citi:** Citi, the leading global bank , has approximately 200 million customer accounts and...to join our team as the Head of Digital Advisory and Financial Planning Experience Technology. This critical role… more
- MUFG (Irving, TX)
- …this contributor will be a sanctions regulations subject matter expert supporting GSCD's Regulatory Advisory functions across MUFG Bank , globally. The GSCD ... Program is responsible for advising on regulatory / bank policy matters, managing global sanctions policy/procedure related matters, overseeing risk management… more
- HSBC (New York, NY)
- Sanctions Advisory Manager Brand: HSBC Area of Interest: Risk and Compliance Location: New York, NY, US, 10001 Work style: Hybrid Worker Date: 21 Oct 2025 In ... compliance with applicable laws, HSBC is committed to employing...program for HSBC US. The US Financial Crime Sanctions Advisory Manager is responsible for providing subject matter expertise… more
- Mizuho Corporate Bank (New York, NY)
- …("MUSO") Regulatory Affairs Group is responsible for managing the Bank 's regulatory relationships and supervisory engagement across MUSO, ensuring that ... impact on the organization, and implementing necessary changes to ensure ongoing compliance . SummaryThe Regulatory Relations Team is seeking an Assistant Vice… more
- TD Bank (New York, NY)
- …industry best practices, and related systems and infrastructure processes + 15+ years compliance and regulatory experience along with a deep understanding of how ... is accountable for establishing the programs and frameworks required to satisfy regulatory obligations and manage employee conduct and behaviors to ensure … more
