- Huntington National Bank (Columbus, OH)
- …+ Experience as broker dealer Chief Compliance Officer or lead compliance director for investment banking/M&A at like size or larger organization. + 10+ ... will play a critical role in the execution and implementation of the Compliance Program for Huntington's Investment Banking Broker Dealers and Huntington's… more
- Raymond James Financial, Inc. (New York, NY)
- …Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision ... of the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive strategic… more
- Skanska (Queens, NY)
- Skanska is searching for a dynamic Unit DBE Compliance Officer . This is a great opportunity to start a career with a company that builds things that matter and ... which is why our values support and drive our D&I efforts. The Unit DBE Compliance Officer will administer Skanska's DBE compliance program for the Civil… 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
- Arena Investors LP (Jacksonville, FL)
- …others won't. Arena is looking to expand the team through the addition of a senior Compliance Officer . In this role, this individual will work closely with the ... a wide variety of regulatory compliance issues primarily in compliance with the Investment Advisers Act of 1940; . Support the CCO with FINRA broker-dealer… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance assists in ... to detail and ability to work independently. **General Job Posting:** The Compliance Officer supports consumer regulatory compliance functions for… more
- EverBank (Charlotte, NC)
- **CRA and HMDA Compliance Officer ** The Community Reinvestment Act (CRA) and HMDA Officer provides senior administrative leadership for the Bank's Community ... Designs, maintains and leads performance analysis to assess ongoing CRA loan, investment , and service performance, and is responsible for overall HMDA program… more
- TD Bank (New York, NY)
- …you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS US ... and certain global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core … more
- Vanguard (Malvern, PA)
- …compliance program, and ensure adherence to regulatory requirements. Serves as Chief AML Officer and Bank Secrecy Compliance Officer for the Vanguard ... and implement the strategic vision for Vanguard's financial crimes compliance program in the US Lead and mentor a...5 years in a leadership role. Experience in the investment industry is highly preferred. + Education: Bachelor's degree… more
- SMBC (Jersey City, NJ)
- …offers a competitive portfolio of benefits to its employees. **Role Description** The Compliance - Functions Control Officer function plays a critical role in ... Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal...environment. **SCOPE** The role will report to Functions Control Officer Lead for Compliance . The incumbent will… more