- SMBC (New York, NY)
- …conduct incidents, events, and material non- compliance matters. + Assist the Regulatory Governance Team Lead in coordinating the intake and responses to ... + M&T findings or recommendations; and/or + Observations by Compliance officer or business staff member +...Must be well organized with project management skills. + Regulatory compliance experience at a broker dealer… more
- Citigroup (Tampa, FL)
- The Legal Support Lead Officer is a senior level, non-attorney role, responsible for providing legal support to the Citi Legal team. This role requires a ... team's management to determine legal solutions + Continuously stays informed of regulatory changes, new regulations, internal policy changes and developments in the… more
- Kelly Services (Burlington, NJ)
- **Position:** Lead Compliance Officer **Location:** Onsite (Pharmaceutical Manufacturing Facility) **Salary Range:** $75,000 - $85,000+ (DOE) **Bonus:** ... leading compliance initiatives in a dynamic pharmaceutical environment? We are seeking a Lead Compliance Officer to establish and drive compliance … more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a ** Lead Compliance Officer ** in Corporate Risk as part **Trade Surveillance Oversight** Team. This role will be ... front line oversight + Develop, oversee, and provide expert business and regulatory compliance functional knowledge. + Develop and present Oversight program… more
- T. Rowe Price (Owings Mills, MD)
- … compliance vision and strategy in conjunction with the Chief Compliance Officer . + Monitor ongoing legal and regulatory developments. Design and lead ... . About this Position Reporting to the Broker/Dealer Chief Compliance Officer , the role is responsible for...in a fast-paced collaborative environment + Demonstrated ability to lead implementation efforts of regulatory change or… more
- Scotiabank (Tampa, FL)
- …team, committed to results, in an inclusive and high-performing culture. **Director - US Regulatory Compliance Officer - Global Banking & Markets - Tampa, ... Director, US Bank Regulatory Compliance , Global Transaction Banking **Requisition...results, in an inclusive and high-performing culture. **Purpose** The Compliance Officer will serve as the primary… more
- Dana-Farber Cancer Institute (Brookline, MA)
- …only work remotely from a New England state (ME, VT, NH, MA, CT, RI).** The Regulatory Compliance Director is a key part of the Compliance team, ... state healthcare laws, payer requirements and internal policies. The Regulatory Compliance Director is responsible for developing,...Compliance Director will report directly to the Chief Compliance Officer . Located in Boston and the… more
- T. Rowe Price (Owings Mills, MD)
- … compliance requirements. + Responsible for drafting quarterly and annual chief compliance officer reporting under Rule 38a-1 and Rule 206(4)-7 and overseeing ... professionals team, as well as provide guidance to business partners to lead them to implementation of effectively designed compliance processes.… 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 ... (Trust department) business and the Berkshire Banc Investment Services business. The VP, Compliance Officer is also responsible for understanding and advising on… more
- Sprinklr (Washington, DC)
- …experiences worldwide. **About** **the Role** Reporting to the General Counsel, the **Chief Compliance Officer (CCO)** will lead Sprinklr's global ... CCO will be responsible for ensuring the Company meets all legal and regulatory obligations, enhancing and maintaining a scalable compliance program, and… more