- Truist (Charlotte, NC)
- …years of direct experience in compliance 4. Demonstrated experience with regulatory agencies, requirements, and/or regulatory compliance . 5. Strong ... control issues. 5. Communicate with management and regulators with respect to compliance risk management activities and regulatory examinations. 6. Implement… more
- JPMorgan Chase (New York, NY)
- …Chase, we are dedicated to maintaining a strong and resilient organization. As a Regulatory Strategy Senior Officer , you will be instrumental in ensuring ... regulatory landscapes and strengthen our relationships with global regulators. As a Regulatory Strategy Senior Officer in the Firmwide Regulatory … more
- SMBC (New York, NY)
- …a competitive portfolio of benefits to its employees. **Role Description** The Director, Sr. Regulatory Officer works with the Regulatory Relations team to ... regulators and promptly shares feedback to management and relevant business units on regulatory expectations. + Oversee compliance and alignment of team member… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance assists ... Attentiveness to detail and ability to work independently. **General Job Posting:** The Compliance Officer supports consumer regulatory compliance … more
- FirstBank PR (San Juan, PR)
- …of Directors (BOD), Senior Management, and Committees, and addressing emerging compliance risks. Additionally, the Compliance Officer will work closely ... Compliance Officer Our Company At FirstBank...and analyze information, action plans, and follow-up on identified compliance issues. + Regulatory Compliance … more
- TD Bank (New York, NY)
- …this role. **Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team. The ... Compliance 's good governance depends on us. The Senior Compliance Office provides advice, guidance and...management systems, execution platforms, and market data feeds). + Regulatory Compliance & Risk Management: Help to… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business ... units in adhering to regulatory / compliance requirements and assists in implementing ...objectives **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- Citigroup (Irving, TX)
- Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, ... firm's risk appetite and protect the franchise. The ICRM Regulatory Architecture Compliance (RAC) team is responsible...to influence and lead people across cultures at a senior level + Experience in managing regulatory … more
- First Horizon Bank (Memphis, TN)
- …be the best at serving their customers one opportunity at a time. **Summary:** The Senior Compliance Officer is primarily responsible for helping to ensure ... adherence to the rigorous standards of compliance with all regulatory processes and procedures...and procedures promulgated by Federal and State regulators. The Senior Compliance Officer is responsible… more
- Marex (New York, NY)
- …more information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will ... within Marex and ensuring that all employees understand their responsibilities. Furthermore, Compliance is a bridge between Marex and regulatory authorities. … more
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