- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Compliance Officer to support the Personal Account Dealing (PAD) Team in managing and delivering employee ... + Navigate complex business units, rules, and regulations on moderate to high- risk compliance matters. + Exercise independent judgment while developing expertise… more
- Iowa Department of Administrative Services (Des Moines, IA)
- …(https://das.iowa.gov/media/3773/download?inline) . If you're ready to apply your expertise in investment compliance and risk management , we invite you to ... Retirement Investment Officer - Compliance Print (https://www.governmentjobs.com/careers/iowa/jobs/newprint/5021399) Apply Retirement Investment Officer - … more
- Vanguard (Malvern, PA)
- …and fosters lines of communication between, and with, business contacts, Legal and Compliance , Enterprise Risk Management , Internal Audit and global ... compliance program, and ensure adherence to regulatory requirements. Serves as Chief AML Officer and Bank Secrecy Compliance Officer for the Vanguard… more
- AIG (Houston, TX)
- The Compliance Officer , Global Financial Crimes Group will assist the head of the Global Financial Crimes Group (FCG) with the ongoing activities related to the ... and anti-money laundering (AML), programs (collectively, "Financial Crime Risks"). The Compliance Officer , Global Financial Crimes Group will also serve… more
- Veterans Affairs, Veterans Health Administration (Togus, ME)
- …You will be rated on the following Competencies for this position: Communication Compliance Risk Management Physical Requirements: Work is primarily ... existing channels for investigations and resolution; Planning program objectives; developing risk management solutions and associated mitigation plans, such as,… more
- City of New York (New York, NY)
- …external audit, financial reporting and programmatic fiscal processes to serve as Chief Compliance Officer . The selected candidate for this position will use an ... to fiscal oversight or of agency-wide significance, the Chief Compliance Officer duties and responsibilities will include...and government authorities, as it pertains to Audit and Risk Management . - Coordinate NYC Aging leadership… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …leaders, providing compliance guidance to support decision-making and operational risk management . + Maintain expertise in securities underwriting, private ... a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the...senior business units. + Strategic planning, risk management , and regulatory analysis. + Compliance investigations… more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business units in ... compliance policies and procedures for covered business areas. + Conduct compliance risk assessments to ensure effective business control framework. +… more
- AdventHealth (Altamonte Springs, FL)
- …: Altamonte Springs, FL **The role you will contribute:** The Primary Health Division Compliance Officer reports to and works in conjunction with the Senior Vice ... President, Chief Compliance Officer at AdventHealth to provide leadership...activities. + Provide oversight of implementation and reporting of compliance monitoring and auditing activities and risk … more
- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide ... management review. + Manage broker-dealer Business Line management relationships. + Collaborate to ensure Americas Compliance...risk events immediatel + To provide input to risk management processes, as required. The Company… more