- First Horizon Bank (Memphis, TN)
- …the review, providing timely status and potential issue updates to the Compliance Testing (CT) Director, issuance of preliminary findings to management, ... background required (2-4 years). Background in preparing for internal ( Compliance Testing and/or Audit) and external (regulatory) examinations preferred.… more
- 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
- Manulife (New York, NY)
- …Description:** Based in New York City or Boston, the role of Chief Compliance Officer -Manulife Investment Management Private Markets Registered Funds and ... convertible bonds), and equities. Addition to reporting to the Global Chief Compliance Officer -Manulife Investment Management Private Markets and Manulife… more
- Manulife (New York, NY)
- …Description:** Based in New York City or Boston, the role of Chief Compliance Officer -Manulife Investment Management Private Markets Registered Funds and ... convertible bonds), and equities. Addition to reporting to the Global Chief Compliance Officer -Manulife Investment Management Private Markets and Manulife… more
- Huntington National Bank (Columbus, OH)
- …The successful candidate will have knowledge of investment banking and capital markets compliance requirements including relevant FINRA, SEC, OCC and MSRB ... Description The Huntington Capital Markets Enterprise Compliance Risk Director Senior...+ Bachelor's degree + Experience as broker dealer Chief Compliance Officer or lead compliance … more
- RELX INC (Philadelphia, PA)
- BISO-Business Information Security Officer Do you want to create strategies and chart a course for our Cyber progress? Are you interested in evangelizing our core ... course for cyber progress. About the Role As a BISO for Health Markets , you will be responsible for planning, organizing, and executing enterprise-wide information… 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
- 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...to learn new regulatory areas impacting products, behaviors and market participants. + Knowledge of testing or… 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
- Zions Bancorporation (Salt Lake City, UT)
- …You bring the talent; we bring the opportunity. We are currently seeking a **SOX Compliance Officer ** to join our team. This position is in Salt Lake City, ... remediation, and determine deficiency classification. + Participate and support in SOX compliance testing performed by internal and external auditors + Review… more
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