- Banc of California (Santa Ana, CA)
- …and participate in management meetings; + Report/communicate LOB risks to their SVP Compliance Officer lead; + Responsible for ensuring all operating procedures ... RCSA and report high risk exposures to their SVP Compliance Officer lead; and + Ensure appropriate...adherence to the risk governance framework; + Ensure ongoing testing of key consumer compliance risk controls;… more
- Berkshire Bank (Boston, MA)
- …$170,031 Location: Hybrid - Boston, MA - 60 State St Purpose/Objective: The VP, Compliance Officer Asset Management will develop, strengthen, and maintain the ... and the Berkshire Banc Investment Services business. The VP, Compliance Officer is also responsible for understanding...Wealth Management is monitored on and adheres to. Review compliance testing and perform policy maintenance and… more
- Citigroup (Jacksonville, FL)
- Individuals in Quality Assurance, Monitoring & Testing are responsible for the assessment of outcomes from activities and processes against conformance with ... applicable requirements to strengthen risk management quality such as quality testing performed for business function quality control and transformation lead quality… more
- Citigroup (Jacksonville, FL)
- The Wealth Client Segments Control Testing Utility is responsible for the testing of controls designed and owned by the Citi's Wealth Segments (ie, ... client-facing) businesses. This position reports to the Wealth Client Segments Control Testing Lead, within the USPB-Wealth-Common Control Testing Utility; and… more
- Citigroup (Tampa, FL)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing compliance risks and ... reported issues. Key Activities include: + Developing, implementing, and executing compliance testing , continuous assurance, and reporting programs within an… 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...are in place as appropriate. + Provide support for Compliance testing , Audits, Regulatory Exams and Inquiries… more
- Equitable (Charlotte, NC)
- Compliance Officer ( 25000075 ) **Primary Location** : UNITED STATES-NC-Charlotte **Organization** : Equitable **Schedule** : Full-time **Description** At ... is based in our Charlotte, NC office. Equitable is currently looking to hire a Compliance Officer within Equitable Distributors Compliance , which is a part… more
- Citigroup (Charlotte, NC)
- Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal ... and financial requirements; Advanced degree preferred **Additional Job Description:** The Compliance Product Officer for Enterprise Workforce Management will: +… more
- JPMorgan Chase (Newark, DE)
- …in the world of compliance ? At JPMorgan Chase, we are seeking a dynamic Compliance Senior Officer to join our team. This role offers the opportunity to work ... the perfect opportunity for you. **Job Summary** As a Compliance Senior Officer in the OFAC Sanctions...Capabilities, and Skills:** + Experience in Audit, Regulatory, or Testing environments + MBA or professional certification + Demonstrated… more
- M/I Homes (Columbus, OH)
- …Orlando, Raleigh, San Antonio, Sarasota, and Tampa. Job Summary: The Mortgage Compliance Officer ensures the mortgage lending operations comply with all ... role oversees compliance with licensing, registration, disclosure requirements. The compliance officer will work closely with department heads, auditors, and… more
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