- SMBC (Jersey City, NJ)
- …SMBC offers a competitive portfolio of benefits to its employees. **Role Description** The Compliance - Functions Control Officer function plays a critical ... operating environment. **SCOPE** The role will report to Functions Control Officer Lead for Compliance ....and supports interactions with Operational Risk, Enterprise Risk and Internal Audit, pertaining to processes, risks and controls. +… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for the Independent Compliance Risk Management (ICRM)'s Control Room team. The ICRM Global Surveillance platform ... of material transactions on the Firm's Watch List for monitoring. + Maintain the Control Room's internal database of investment banking assignments, to prevent /… more
- Wells Fargo (Charlotte, NC)
- …to grow. Join us! **About the Role** Wells Fargo is seeking a **Lead Control Management Officer ** to support the **Commercial, Corporate & Investment Banking, ... and International Technology Control ** organization. This team serves as the front line...their respective groups. The role focuses on ensuring that internal controls, processes, and procedures are effective and aligned… more
- MUFG (New York, NY)
- …one day. A member of our recruitment team will provide more details. Risk and control officer will be responsible for assisting with the duties of the BURM ... operational trends, and external risk events for potential impact to control environment + Audit/ Compliance + Assist in Preparation/Maintenance/Tracking of… more
- State of Massachusetts (Boston, MA)
- * Compliance Officer II | Department of Family & Medical Leave* The Compliance Officer is responsible for conducting investigations for compliance ... to deliver program integrity. *What you'd do:* ** The Compliance Officer II,who reports to the Senior...Communicates when necessary, verbally and in writing with DFML internal staff, DFML vendors, claimants, members of legislature, and… more
- SMBC (New York, NY)
- …employees. **Role Description** The Securitized Products and Capital Solutions Business Control Officer is primarily an individual contributor. The Securitized ... to the Coverage and Capital Markets/Structured Finance Solutions Vertical Business Control Officer . **Role Responsibilities** * Leads and provides expert… more
- Wells Fargo (Charlotte, NC)
- …grow. Join us! **About this role:** Wells Fargo is seeking a **Lead Control Management Officer ** within Equities Trade Surveillance. The Corporate & Investment ... risks for their groups. This team works to ensure internal controls, processes, and procedures are adequate and effective,...+ Manage key relationships with Business Heads, Desk Heads, Compliance , Chief Operating Office(COO) and CIB Control … more
- KeyBank (Cleveland, OH)
- **Location:** 4910 Tiedeman Road - Brooklyn, Ohio 44144 **JOB BRIEF (PURPOSE)** The Compliance Officer will be a member of the Consumer Deposit Compliance ... team within Compliance Risk Management. The Compliance Officer will provide subject matter expertise of federal regulations and second line of defense… 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...Support the assessment process to identify trends, risk exposure, control effectiveness, and residual risks. + Compliance … 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 ... the TDS US and global businesses, working with regional teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance… more
- Zions Bancorporation (Midvale, UT)
- … compliance . . Manage and/or coordinate OFAC examinations by external parties, Internal Audit and Compliance Assurance. . Hire, fire, counsel, and conduct ... the opportunity. We are currently seeking an **_OFAC (Office of Foreign Assets Control ) Manager/Officer_** to join our team in-office in either Midvale, UT; Phoenix,… more
- TD Bank (New York, NY)
- …TDS Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control , and Front Office Technology to ... Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data...CFTC, NFA, FINRA, FCA, CIRO, etc.) and aligns with internal compliance policies. + Technology & Automation:… more
- Scotiabank (Houston, TX)
- Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary Range:** 99,790.00 - 190,995.00 _Please note that the Salary Range shown is ... together to drive ambition for every future! **Purpose** The Compliance Officer will operate as a member...to ensure appropriate remediation. + Develop and maintain strong internal client relationships with focus on ensuring Compliance… more
- Citigroup (New York, NY)
- …relating to operational issues, transactional approvals and the application of internal compliance policies for day-to-day activities; + Directing and ... Serves as a senior function/business/product compliance risk officer covering North American...diverse Business/Function + Experience with and previous exposure to internal or external control functions and regulators… more
- ManTech (Belcamp, MD)
- **MANTECH** is seeking a motivated, career and customer-oriented ** Compliance Officer ** to join our team in **Belcamp** **, MD** . This is an onsite position. ... The Compliance Officer will work in support of...the program operates within all applicable laws, regulations, and internal policies by monitoring activities, identifying potential compliance… more
- Citigroup (Jersey City, NJ)
- Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing compliance risks ... program to assess the design and effectiveness of key controls designed to address compliance risk; reporting and escalating control issues and any violations of… more
- KeyBank (NY)
- …second line of defense Compliance Risk Management function, the Complaint's Management Compliance Officer is responsible for helping to execute a robust and ... regulations, and a strong focus on risks and controls. + Knowledge of internal controls, compliance testing and monitoring processes (including analytics), and… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Compliance Officer to join the CIB Macro Business Aligned Compliance Team. Learn more about the career ... Trading Compliance Team is a Business Aligned Compliance Officer (BACO). The BACO for this...including successful completion and clearing of a background check. Internal transfers are subject to compliance with… more
- Citizens (Stamford, CT)
- …finance, equity research, and sales and trading. Position Overview We are seeking a Compliance Officer to support our Research, Investment Banking Compliance ... This role ensures compliance with applicable regulations, internal policies, and ethical standards governing Research, and Investment...and related activities. + Coordinate with Trading and BD Control Room, and the Centralized Control Room… more
- Citigroup (Irving, TX)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, ... reporting control issues with transparency. **Qualifications:** + Knowledge of Compliance laws, rules, regulations, risks and typologies + Must be a… more