- TD Bank (New York, NY)
- …global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance ... for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of... + Assist with developing and executing the annual Compliance Testing and Monitoring plan + Determine… more
- First Horizon Bank (Dallas, TX)
- …the review, providing timely status and potential issue updates to the Compliance Testing (CT) Director, issuance of preliminary findings to management, ... background preferred (2-3 years) + Background in preparing for internal ( Compliance Testing and/or Audit) and external (regulatory) examinations preferred. +… more
- Scotiabank (New York, NY)
- Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary Range:** 180,000.00 - 301,500.00 _Please note that the Salary Range shown is a ... Trading businesses by acting as a team leader for Markets Compliance . **What You'll Do** + Acting.... **What You'll Do** + Acting as a senior compliance officer and Compliance team… more
- Scotiabank (Houston, TX)
- …(GS), Mortgage Capital Markets , Structured Credit and Equity Research businesses. The Compliance Officer will serve as (1) primary compliance advisory ... Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary...are in place as appropriate. + Provide support for Compliance testing , Audits, Regulatory Exams and Inquiries… more
- Equitable (Charlotte, NC)
- Chief Compliance Officer ( 250000CZ ) **Primary Location** : UNITED STATES-NC-Charlotte **Organization** : Equitable **Schedule** : Full-time **Description** At ... will help unlock your potential? Equitable is currently looking to hire a Chief Compliance Officer within Equitable Distributors Compliance , which is a part… more
- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide ... individuals within the various Marex Business lines from a Compliance perspective. Marex has unique access across markets...for broker-dealer Regulatory Reporting process. + Carry out assigned compliance testing . + Coordinate and provide … 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 ... and the Berkshire Banc Investment Services business. The VP, Compliance Officer is also responsible for understanding...Wealth Management is monitored on and adheres to. Review compliance testing and perform policy maintenance and… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Compliance Officer in Corporate and Investment Banking (CIB) Compliance to lead various topics across CIB ... Compliance . The Lead Compliance Officer will be responsible for managing...accountable for execution of all applicable risk programs (Credit, Market , Financial Crimes, Operational, Regulatory Compliance ), which… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is committed to providing fair ... you more specific details for this role. **Job Description:** The Senior Compliance Office provides advice, guidance and support to business units in adhering… more
- MyFlorida (Tallahassee, FL)
- COMPLIANCE OFFICER - 42003557 (FOR INTERNAL AGENCY EMPLOYEES ONLY) Date: Jul 23, 2025 The State Personnel System is an E-Verify employer. For more information ... . Requisition No: 857104 Agency: Agriculture and Consumer Services Working Title: COMPLIANCE OFFICER - 42003557 (FOR INTERNAL AGENCY EMPLOYEES ONLY) Pay… more
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