- 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
- 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 ... businesses, working with regional teams across the globe. This Compliance Officer will also support other aspects...guidance and support to business units in adhering to regulatory / compliance requirements and assists in implementing … more
- Equitable (Charlotte, NC)
- Equitable Advisors Deputy Chief Compliance Officer ( 250000L7 ) **Primary Location** : UNITED STATES-NC-Charlotte **Other Locations** : UNITED STATES-NY-New York ... Equitable is currently looking to hire a Deputy Chief Compliance Officer (DCCO) for Equitable Advisors within...for compliance counsel and field management regarding compliance issues. + Provide close oversight over regulatory… more
- FirstBank PR (San Juan, PR)
- …& Readiness + Lead and organize efforts for internal, external, regulatory , quality, and compliance audits. + Coordinate documentation, evidence gathering, ... BUSINESS UNIT COMPLIANCE OFFICER AUTO ADMINISTRATION SERVICES DEPT...the Auto Business Unit, the Enterprise Risk Management and Compliance Departments, ensuring operational alignment with regulatory … more