- SMBC (New York, NY)
- …conduct incidents, events, and material non- compliance matters. + Assist the Regulatory Governance Team Lead in coordinating the intake and responses to ... + M&T findings or recommendations; and/or + Observations by Compliance officer or business staff member +...Must be well organized with project management skills. + Regulatory compliance experience at a broker dealer… more
- T. Rowe Price (Owings Mills, MD)
- … compliance vision and strategy in conjunction with the Chief Compliance Officer . + Monitor ongoing legal and regulatory developments. Design and lead ... . About this Position Reporting to the Broker/Dealer Chief Compliance Officer , the role is responsible for...in a fast-paced collaborative environment + Demonstrated ability to lead implementation efforts of regulatory change or… more
- Scotiabank (Tampa, FL)
- …team, committed to results, in an inclusive and high-performing culture. **Director - US Regulatory Compliance Officer - Global Banking & Markets - Tampa, ... Director, US Bank Regulatory Compliance , Global Transaction Banking **Requisition...results, in an inclusive and high-performing culture. **Purpose** The Compliance Officer will serve as the primary… more
- Dana-Farber Cancer Institute (Brookline, MA)
- …only work remotely from a New England state (ME, VT, NH, MA, CT, RI).** The Regulatory Compliance Director is a key part of the Compliance team, ... state healthcare laws, payer requirements and internal policies. The Regulatory Compliance Director is responsible for developing,...Compliance Director will report directly to the Chief Compliance Officer . Located in Boston and the… more
- Robert Half Finance & Accounting (Minneapolis, MN)
- …a Vice President/ Compliance Officer to take ownership of its compliance programs and drive excellence across regulatory frameworks. This is an ... Description Vice President/ Compliance Officer - Twin Cities Metro...Lead and oversee all aspects of the bank's compliance programs, ensuring adherence to regulatory requirements,… 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...guidance and support to business units in adhering to regulatory / compliance requirements and assists in implementing … more
- KeyBank (Amherst, NY)
- …superior service directly for bank clients while maintaining risk management, compliance with bank policies and regulatory requirements, internal procedures ... REQUIRED** Commercial real estate seminars on targeted lending and equity programs ** LEAD SERVICE OFFICER :** **JOB BRIEF (PURPOSE)** Responsible for all… 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...for compliance counsel and field management regarding compliance issues. + Provide close oversight over regulatory… more
- Vanguard (Malvern, PA)
- … program, and ensure adherence to regulatory requirements. Serves as Chief AML Officer and Bank Secrecy Compliance Officer for the Vanguard Funds and ... and implement the strategic vision for Vanguard's financial crimes compliance program in the US Lead and...Regulatory Engagement: Serve as the primary liaison with regulatory bodies regarding Financial Crime compliance , ensuring… more
- FirstBank PR (San Juan, PR)
- …& Readiness + Lead and organize efforts for internal, external, regulatory , quality, and compliance audits. + Coordinate documentation, evidence gathering, ... BUSINESS UNIT COMPLIANCE OFFICER AUTO ADMINISTRATION SERVICES DEPT...the Auto Business Unit, the Enterprise Risk Management and Compliance Departments, ensuring operational alignment with regulatory … more
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