- 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
- HSBC (New York, NY)
- Director of Wealth, Private Banking and Insurance Regulatory Compliance Brand: HSBC Area of Interest: Risk and Compliance Location: New York, NY, US, 10001 ... HSBC Group's risk framework. The Director of Wealth, Private Banking and Insurance Regulatory Compliance for US is the management leadership role responsible for… more
- 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
- Capco, a Wipro Company (Charlotte, NC)
- …passionate about helping our clients succeed in an ever-changing industry. Working in Compliance Advisory at Capco extends well beyond a traditional consulting ... **About the Job:** As a Principal Consultant on the Compliance Advisory team, you will work in...banking experience in banking and/or lending operations with a bank , credit union, mortgage company, FinTech, and/or regulatory… more
- Wipfli LLP (Chicago, IL)
- …are maintained and loans conform to established company policy and applicable regulatory requirements + Examine credit risks within loan portfolios and the ... and renewals, appraisals, collateral, insurance, flood certification(s) etc + Document compliance with loan policies, lending procedures and applicable regulations +… 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
- HSBC (New York, NY)
- …New York, NY, US, 10001 Work style: Hybrid Worker Date: 23 Oct 2025 In compliance with applicable laws, HSBC is committed to employing only those who are authorized ... helping to future-proof the organisation through robust legal risk and issue advisory . Responsible for providing comprehensive legal advice to senior management and… more
- Levi, Ray & Shoup, Inc. (Raleigh, NC)
- …executing and overseeing all aspects of the Customer Due Diligence program, ensuring compliance with anti-money laundering (AML), Bank Secrecy Act (BSA), Know ... mitigated. + Assist with oversight testing, internal audits, and regulatory exams related to CDD/EDD compliance . +...application/business owners and second line of defense (2LOD) AML Advisory to ensure alignment on compliance strategies.… more
- SMBC (New York, NY)
- …a business from the ground up, design and implement a robust legal and regulatory compliance framework in partnership with Compliance colleagues, and educate ... base (ranging from junior staff to senior management) on the US regulatory requirements for investment advisers. **Role Objectives** + Provide legal, regulatory… more
- Banc of California (Santa Ana, CA)
- …CALIFORNIA AND YOUR CAREER** Banc of California, Inc. (NYSE: BANC) is a bank holding company headquartered in Los Angeles with one wholly-owned banking subsidiary, ... Banc of California (the " bank "). Banc of California is one of the nation's...be part of the Information Security Governance, Risk, & Compliance (GRC) team at Banc of California. The Information… more
- Sallie Mae (Newark, DE)
- …or other highly regulated industry is strongly preferred, including familiarity with bank regulatory frameworks relevant to contracting principles. + Experience ... + Procurement and Vendor Management + Provide legal advice and strategic advisory support for the day-to-day operations of Sallie Mae's Procurement, Vendor… more
- HSBC (New York, NY)
- …New York, NY, US, 10001 Work style: Hybrid Worker Date: 25 Oct 2025 In compliance with applicable laws, HSBC is committed to employing only those who are authorized ... management wallet share and to grow revenues. + Adopt a needs-based advisory approach to understand customer requirements and provide appropriate cash management… more
- HSBC (Miami, FL)
- …Miami, FL, US, 33131 Work style: Hybrid Worker Date: 20 Oct 2025 In compliance with applicable laws, HSBC is committed to employing only those who are authorized ... following qualifications to succeed in this role: + Experience in investment advisory ; portfolio management, brokerage, or institutional sales + Knowledge of private… more
- HSBC (New York, NY)
- …New York, NY, US, 10001 Work style: Hybrid Worker Date: 16 Oct 2025 In compliance with applicable laws, HSBC is committed to employing only those who are authorized ... the Technology, Media and Telecommunications sector + Adopt a needs-based advisory approach to understand customer requirements and provide appropriate cash… more
- Principal Financial Group (Chicago, IL)
- …and regulatory environments is highly valued. + Experience working with regulatory officials and compliance professionals + Proven ability to operate ... leadership team. Collaborate with a range of governance and advisory groups, including the 40-Act Mutual Fund Board, committees,...vacation, personal or short-term illness. Employees don't accrue a bank of time off under FTO and there is… 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
