- Edward Jones (Tempe, AZ)
- …businesses, charitable organizations, and private foundations. **What You Will Do:** The Senior Trust Tax Officer is responsible for fiduciary tax return ... + Assisting the Trust Tax Team Leader in ensuring continued regulatory and statutory compliance in all aspects of fiduciary duties, responding to branch team,… more
- KeyBank (Denver, CO)
- …second line of defense Compliance Risk Management function, the Complaint's Management Compliance Officer is responsible for helping to execute a robust and ... and monitoring processes (including analytics), and applicable techniques for implementation of regulatory compliance requirements and compliance processes +… more
- Edward Jones (St. Louis, MO)
- …with financial advisors, branch staff, leaders, peers, and others in the firm. A Senior Compliance Officer has a relatively broad responsibility to deal ... regulatory changes. **Responsibility Summary :** + Uses knowledge of the industry, regulatory and compliance environment and firm business functions and takes… more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS ... working with regional testing teams across the globe. This Compliance Officer will also support other aspects...senior and line managers and other stakeholders on regulatory interactions. + Strong analytical skills, attention to detail,… more
- T. Rowe Price (Owings Mills, MD)
- …who perform the regulatory reviews. Reviews procedures and policies to ensure compliance . + Provides support to senior leadership. Meets with clients and in ... compliance requirements. + Responsible for drafting quarterly and annual chief compliance officer reporting under Rule 38a-1 and Rule 206(4)-7 and overseeing… more
- Zions Bancorporation (Salt Lake City, UT)
- …the talent; we bring the opportunity. **We are currently seeking a** **Risk and Compliance Testing Officer ** **within the Market, Liquidity, Wealth Risk & ... Compliance Team.** **Description** A Market, Liquidity, and Wealth Risk & Compliance (MLW) Testing Officer works closely with team members and business line… more
- KeyBank (Chicago, IL)
- **Location:** 4910 Tiedeman Road, Brooklyn Ohio The Senior Compliance Officer will be a member of the Consumer Deposit Compliance team within ... as they relate to consumer deposit accounts. Additionally, The Senior Compliance Officer will conduct...facilitate necessary changes. + Assist with internal and external regulatory compliance exams. + Proactively identify process… more
- Veterans Affairs, Veterans Health Administration (San Diego, CA)
- …industry oversight expectations, provided the primary impetus for implementing a standardized internal compliance program. The Compliance Officer serves as a ... for appropriate distribution to offices internal and external to the office. The Compliance Officer provides guidance and counsel on incorporating compliance… more
- North Wind Group (Knoxville, TN)
- … (GC/CCO) reports to the Chief Executive Officer and serves as the senior legal and compliance executive providing legal advice and guidance to the ... UT., Idaho Falls, ID. Title: General Counsel and Chief Compliance Officer Schedule (FT/PT): Regular Full Time...CEO and Board of Directors on all legal and regulatory matters, and ensures adherence to applicable laws, regulations,… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …apply logical and critical thought processes when developing and recommending solutions. #LI-GM1 Compliance Officer I-Newline Compliance At Fifth Third, we ... and UDAP/UDAAP) and the execution of procedures to evaluate the Bancorp's compliance with laws, regulations and industry standards. Develops and executes strategies… more