- Raymond James Financial, Inc. (Memphis, TN)
- …Securities Exchange Commission (SEC), Investment Advisers Act of 1940 and SEC regulatory environment; Financial Industry Regulatory Authority (FINRA); state ... Planning and scheduling work to meet regulatory organizational and regulatory requirements. + Identifying and applying appropriate compliance monitoring… more
- City National Bank (Los Angeles, CA)
- …Certified Compliance Risk Manager (CRCM). * For Wealth Management Compliance roles, experience with a financial institution such as a broker/dealer ... equivalent * Minimum 5 years of experience working in financial Industry, preferably in a regulatory -facing role... regulatory agencies, including exam management and other regulatory affairs. * For Banking Compliance related… more
- KeyBank (Cleveland, OH)
- …certifications in risk management and/or compliance (eg - Certified Regulatory Compliance Manager (CRCM), Certified Anti-Money Laundering Specialist ... of REA team on projects and testing. The Senior Compliance Manager must have a strong understanding...continuing education opportunities to further develop overall knowledge of regulatory compliance , banking products and services, industry… more
- Robert Half Finance & Accounting (Minneapolis, MN)
- … compliance programs in the financial services industry? We are seeking a Compliance Manager to join a robust Legal & Compliance team. This role ... Description Compliance Manager Are you an experienced...apply! Requirements Audit Compliance , Compliance , Financial Services, Regulatory Compliance , Vendor… more
- Capital One (Plano, TX)
- …of experience in compliance , legal or audit** + **Certified Regulatory Compliance Management (CRCM) or Certified Information Privacy Professional (CIPP) ... Compliance Advisor Manager **The Compliance...line of business by:** + **Providing input on business regulatory requirements** + **Providing guidance on business policies, standards,… more
- American Express (Phoenix, AZ)
- …We create and maintain the overall risk management framework while ensuring legal and regulatory compliance . Our culture in Global Risk & Compliance is ... overseeing risk management platforms and capabilities ("GRC Product"). The Manager / Director, GenAI Product will be part of...AI. * Strong understanding of AI risk management and regulatory compliance . * Excellent problem-solving skills and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Essential Duties and Responsibilities** + Oversees elements of the RJ Bank compliance program(s) to ensure regulatory requirements are addressed, including: + ... Institutions Examination Council (FFIEC); Federal Reserve Board (FRB); Consumer Financial Protection Bureau (CFPB), and state banking regulatory agencies… more
- American Express (Sandy, UT)
- …future of American Express. **How will you make an impact in this role?** Global Financial Crimes Compliance (GFCC) is an organization within Global Risk & ... Compliance (GRC) and is responsible for leading the enterprise-wide...financial crime, bribery, and corruption. The Threat Assessment Manager will be responsible for identifying, analyzing, assessing, and… more
- Galileo Financial Technologies, LLC (Sandy, UT)
- …its industry with superior fraud detection, security, decision-making analytics and regulatory compliance functionality combined with customized, responsive and ... compliance and operational excellence. Role Overview We are seeking a Manager , Payments Compliance & Operations to oversee implementation, compliance ,… more
- CVS Health (Richmond, VA)
- …accomplish complex goals. **Required Qualifications** + 5+ years' experience in a regulatory compliance position in healthcare. + Demonstrated working knowledge ... consulting with business leaders, engaging with key stakeholders on compliance related issues to meet regulatory and...and benefits - investing in the physical, emotional and financial wellness of our colleagues and their families to… more