- Citigroup (Irving, TX)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, ... complex comparative data, preparing and presenting regional and global reports related to compliance risk assessments, and monitoring of compliance related… more
- HUB International (New York, NY)
- …purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer , will be a highly visible, senior leadership position, reporting directly into ... the Global/Executive Chief Compliance and Risk Officer , working closely with RPW senior leadership to collectively support the growing RPW business while… more
- Citigroup (Jersey City, NJ)
- Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing ... design and effectiveness of key controls designed to address compliance risk ; reporting and escalating control issues...to influence and lead people across cultures at a senior level + Experience in managing regulatory exams and… more
- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk officer covering North American Cash Equities Sales and Trading businesses. The role is ... of best-in-class Compliance , programs, policies and practices for Independent Compliance Risk Management (ICRM). Translates ICRM strategy and goals across… more
- KeyBank (Brooklyn, OH)
- …Brooklyn, Ohio 44144 **About the Job** As part of Key's second line of defense Compliance Risk Management function, the Risk Evaluation and Assurance Program ... ongoing compliance with applicable laws and regulations through the execution of compliance and operational risk monitoring and testing across Key's lines of… more
- Citigroup (Getzville, NY)
- Serves as a senior vice president of Compliance Data Risk Oversight lead for Independent Compliance Risk Management (ICRM) responsible for developing ... and implementing elements of the data compliance risk oversight program, including developing systems...within Citi, as necessary. + Acting as SME to senior stakeholders and /or other team members in relation… more
- First Horizon Bank (Memphis, TN)
- …(4-year college) degree 2. Financial Institution experience required (4-6 years). Risk Management and/or compliance background required (2-4 years). Background ... of all Products and Services to all applicable regulations in which Corporate Compliance has oversight responsibility. Must have a knowledge of all state and federal… more
- First Horizon Bank (Asheboro, NC)
- …and prepare cases for review and approval by management. + Provide risk rating recommendations to management for clients' relationships reviewed, by determining if ... client is low or potentially high risk or if account closure is recommended. + Onboarding - Review and Analyze prospect client(s) prior to onboarding. + Perform… more
- Highmark Health (Austin, TX)
- …capacity, the incumbent is responsible for the collaborative and iterative development of the risk and compliance plan for these entities across all areas in the ... not limited to internal and external audit progress, recurring risk and compliance reporting, mandated training, investigations,...a single point of contact to respond and intake risk from the senior leadership team, and… more
- Pioneer Bank (Albany, NY)
- … Management Associate LOCATION: Headquarters REPORTS TO: Senior Vice President - Compliance & Chief Risk Officer CLASSIFICATION: Full Time, Non Exempt ... applicable laws and regulations. *With oversight from the SVP - Compliance and Chief Risk Officer , provides guidance Pioneer's management and staff regarding… more