• Lead Compliance Officer…

    Wells Fargo (Charlotte, NC)
    **About this role:** Wells Fargo is seeking a Lead Compliance Officer for the Risk and Regulatory Change Management (RRCM) Operations role as part of ... Corporate Compliance Regulatory Change Management (CRCM). Learn more about the career areas and lines of business at wellsfargojobs.com… more
    Wells Fargo (10/10/25)
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  • Broker Dealer Regulatory Governance…

    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
    SMBC (10/09/25)
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  • Senior Compliance Officer…

    BMO Financial Group (Chicago, IL)
    …and making recommendations that significantly impact the Bank's ability to monitor regulatory compliance programs, minimize operational risk and align with ... and procedures for outcome and oversight testing and may lead and review other testers in the execution of...and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned… more
    BMO Financial Group (09/20/25)
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  • Senior Cyber Regulatory Officer

    CRC Insurance Services, Inc. (Charlotte, NC)
    …(United States of America) **Please review the following job description:** The Senior Cyber Regulatory Officer will lead a team to provide strategic ... the United States (CFIUS). + Lead NYDFS regulatory exercise including evidence gathering, development of compliance... guidance. + In partnership, with Legal and Privacy Officer , monitor changes in the global, federal, and state… more
    CRC Insurance Services, Inc. (09/16/25)
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  • Senior Lead Compliance…

    Wells Fargo (Charlotte, NC)
    **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer within (CIB)Corporate Investment Banking Markets Compliance Groups. **In ... and challenges appropriately on compliance related decisions + Provide regulatory compliance risk expertise and consulting for projects and initiatives… more
    Wells Fargo (10/01/25)
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  • Lead , Legal Compliance (Ethics…

    L3Harris (Rochester, NY)
    …domains in the interest of national security. Job Title: Lead , Legal Compliance (Ethics & Compliance Officer ) Job Location: Multiple: Rochester, New ... seeking an experienced, proactive and solutions focused Ethics & Compliance Officer (ECO) who will be responsible...procedures, tools and training that promote knowledge and strict compliance with regulatory requirements and reduce risk… more
    L3Harris (08/30/25)
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  • Regulatory Liaison and Change…

    Byline Bank (Chicago, IL)
    …relevant certification (eg, CRCM, CAMS) a plus. + 7+ years of experience in regulatory compliance , risk management, or regulatory relations within the ... cross-functional projects in a dynamic financial environment. **Duties and Responsibilities:** ** Regulatory Exam Coordination:** + Serve as the lead coordinator… more
    Byline Bank (09/23/25)
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  • Sr. Compliance Officer…

    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
    TD Bank (09/20/25)
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  • Compliance Officer

    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
    Robert Half Finance & Accounting (08/08/25)
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  • Senior Compliance Officer…

    TD Bank (New York, NY)
    …**Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team. The team supports ... multiple sources (eg, order management systems, execution platforms, and market data feeds). + Regulatory Compliance & Risk Management: Help to ensure TDS meets … more
    TD Bank (09/17/25)
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