- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR * WHAT IS THE OPPORTUNITY? The Compliance Officer Senior - Mortgage is responsible for managing and maintaining ... assigned areas of the compliance program covering US Mortgage Banking including monitoring business..., and regulatory reporting. * Minimum 5 years of financial services experience *Additional Qualifications* * Advanced knowledge of… more
- Scotiabank (Houston, TX)
- Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary Range:** 99,790.00 - 190,995.00 _Please note that the Salary Range ... together to drive ambition for every future! **Purpose** The Compliance Officer will operate as a member...programs are designed to help support your unique family, financial , physical, mental, and social health needs. \#GBM2025 Location(s):… 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...judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory… more
- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk officer covering North American Cash Equities Sales and Trading businesses. The role is ... with senior leaders + Significant knowledge and expertise of Compliance laws, rules, regulations, risks and appropriate controls (Examples include Reg Sho,… more
- Navy Federal Credit Union (Vienna, VA)
- …assigned to support one or more processes based on knowledge and experience. The Senior Compliance Officer is a professional with 7-10 years' experience ... knowledge of compliance issues, laws and regulations relating to federal financial regulations as well as the Consumer Financial Protection Bureau's… more
- Marex (New York, NY)
- …services. For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will ... and DMA, plus award-winning data, insights and analytics. In the ever-evolving financial landscape, Compliance has become increasingly complex. Marex must… more
- Bloomberg (New York, NY)
- Senior Compliance Officer - Data...complex issues that come with being the world's leading financial news and information company. Our team is made up ... Compliance Location New York Business Area Legal, Compliance , and Risk Ref # 10043072 **Description & Requirements**...meet deadlines; * An ability to advise and influence senior business people on data privacy matters; * Strong… more
- Citigroup (Jersey City, NJ)
- Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing compliance ... line of defense. Also responsible for performing assessments of Citi's compliance risks; performing independent testing activities (testing and monitoring) within… more
- Wells Fargo (Charlotte, NC)
- **About this role:** We are seeking a highly experienced Senior Lead Compliance Officer to support the Structured Products Group (SPG) across both Capital ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively… more
- Truist (Charlotte, NC)
- …and responding to regulatory requests for BD / RIA. Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise ... controls to determine gaps. Lead or assist in leading compliance initiatives necessary in implementing changes. 3. Analyze and...and Analysts. 8. Partner with LOB leaders and other senior Truist teammates to execute on key strategic initiatives… more
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