- Flatirons Bank (Boulder, CO)
- …proper minutes are maintained. + Develop, implement, and maintain lending and deposit compliance policies , processes and procedures to ensure compliance ... action, to the identified findings. + Assist the BSA/CFT/OFAC Officer with developing policies , procedures ,...compliance with applicable regulations. + Support the Records Officer with maintaining record retention policies . +… more
- HUB International (New York, NY)
- …Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures . This means assisting in ... investment advisor and limited purpose FINRA Broker-Dealer: The Chief Compliance Officer , will be a highly visible,...up of the firm's Code of Ethics and other policies and procedures designed to prevent violations… more
- City of Bozeman (Bozeman, MT)
- Code Compliance Officer Print (https://www.governmentjobs.com/careers/bozeman/jobs/newprint/5141816) Apply Code Compliance Officer Salary $31.63 - ... Benefits Position Summary In this essential role, the Code Compliance Officer maintains and enhances the quality...of, or the ability to quickly learn the City's policies and procedures ; + Substantial knowledge of… more
- Texas A&M University System (College Station, TX)
- …laws, regulations, statutes, codes, policies , and directives, as well as compliance with AgriLife rules and procedures . Responsibilities: + Coordinate with ... Job Title Compliance Officer I Agency Texas A&M...commitment to compliance with all applicable laws, policies , rules, and procedures . + Identifies potential… more
- TD Bank (New York, NY)
- …with monthly and ad hoc Compliance reporting. + Support the development of US policies and procedures for Core Compliance functions and liaise with the ... more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core ...laws and regulations and relate those laws to operational procedures , company policies , and industry trends +… more
- State of Massachusetts (Boston, MA)
- * Compliance Officer II | Department of Family & Medical Leave* The Compliance Officer is responsible for conducting investigations for compliance ... for identifying and investigating cases in accordance with department policies and procedures , identified as a result...to deliver program integrity. *What you'd do:* ** The Compliance Officer II,who reports to the Senior… more
- SMBC (New York, NY)
- …and process burden. + Assist in the design, implementation and maintenance of Compliance policies and procedures to ensure consistency in achieving ... of the below-listed Compliance Program areas: + Policies and Procedures Management + Compliance...+ M&T findings or recommendations; and/or + Observations by Compliance officer or business staff member +… 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...regulation and industry best practices. + Maintain and develop policies and procedures , internal controls, and supervisory… more
- Safran (Gainesville, TX)
- …as project manager ensuring development and implementation of Safran Group Export Compliance /Anti-Corruption related policies and procedures . Interfaces with ... Export Compliance Officer and Compliance ...Safran Seat USA's compliance with relevant Export Compliance /Anti-Corruption processes, procedures and requirements from Safran… more
- KeyBank (Cleveland, OH)
- **Location:** 4910 Tiedeman Road - Brooklyn, Ohio 44144 **JOB BRIEF** The Compliance Officer will be a member of the Consumer Deposit Compliance team within ... Compliance Risk Management. The Compliance Officer will provide subject matter expertise...mitigated according to Key's Risk & Control Self-Assessment (RCSA) Procedures and applicable policies . As subject matter… more
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