- SMBC (New York, NY)
- …+ Compliance Training + Issues Management + Monitoring & Testing + Compliance Risk Assessment + Communications and Transaction Surveillance + Employee ... findings or recommendations; + M&T findings or recommendations; and/or + Observations by Compliance officer or business staff member + Coordinate with relevant… more
- MUFG (Irving, TX)
- … Compliance Testing (ACT) is an integral part of the MUFG Regulatory Compliance Risk Management function. This position executes a compliance testing ... & Trading business units with focus on the Markets Compliance program. The Compliance Officer ...defense controls and prepare reviews for senior management detailing assessment of the effectiveness of the Compliance … more
- KeyBank (Charlotte, NC)
- …a member of the Consumer Deposit Compliance team within Compliance Risk Management. The Compliance Officer will provide subject matter expertise of ... The Compliance Officer will be... compliance risks are mitigated according to Key's Risk & Control Self- Assessment (RCSA) Procedures and applicable… more
- FirstBank PR (San Juan, PR)
- COMPLIANCE OFFICER BSA COMPLIANCE DEPT.... Support the execution and development of the OFAC/Sanctions Risk Assessment for the Bank and its regions ... number one place for you. A Brief Overview The Compliance Officer plays a critical role in...as well as participate in discussions regarding the OFAC/Sanctions Risk Assessment with various units, departments, affiliates,… more
- Equitable (Charlotte, NC)
- Equitable Advisors Deputy Chief Compliance Officer ( 250000L7 ) **Primary Location** : UNITED STATES-NC-Charlotte **Other Locations** : UNITED STATES-NY-New York ... New York City office. Equitable is currently looking to hire a Deputy Chief Compliance Officer (DCCO) for Equitable Advisors within the National Compliance … more
- Intermountain Health (Tremonton, UT)
- …Identifies potential compliance vulnerabilities through various methods, including risk assessment , auditing, and ongoing monitoring. Escalates high- risk ... **Job Description:** The Compliance Officer supports the implementation and...Programs + Leadership + Relationship Building + Communication + Risk Compliance + Confidentiality + Facilitator +… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …+ Recommend protocols for compliance testing. + Contribute updates to the compliance risk assessment . + Support post-implementation validation based on ... apply logical and critical thought processes when developing and recommending solutions. #LI-GM1 Compliance Officer I-Newline Compliance At Fifth Third, we… more
- KeyBank (Brooklyn, OH)
- …Road, Brooklyn Ohio **About the Job** As part of Key's second line of defense Compliance Risk Management function, the Risk Evaluation and Assurance Program ... on risk -based monitoring and evaluation activities, including risk assessment , monitoring and testing, analysis of...or gaps. + Review policies and procedures and associated compliance and risk programs to ensure consistency… more
- KeyBank (Brooklyn, OH)
- …Road, Brooklyn Ohio **Job Description** As part of Key's second line of defense Compliance Risk Management function, the Risk Evaluation and Assurance ... on risk -based monitoring and evaluation activities, including risk assessment , monitoring and testing, analysis of...or gaps. . Review policies and procedures and associated compliance and compliance risk programs… more
- CareFirst (Baltimore, MD)
- …Medicaid products. Reporting to the CEO, Plan Board of Directors, and Corporate Compliance Officer , the incumbent works closely with operational teams, Corporate ... implement CMS and applicable state rules, policies and regulations. Responsible for risk assessment activities for internal departments. + Collaborates with… more