- SMBC (Jersey City, NJ)
- …offers a competitive portfolio of benefits to its employees. **Role Description** The Compliance - Functions Control Officer function plays a critical role in ... environment. **SCOPE** The role will report to Functions Control Officer Lead for Compliance . The incumbent will...laws and regulations (eg, Federal Reserve Bank, NYDFS, FDIC, OCC ) + Experienced in change management and continuous process… more
- SMBC (Charlotte, NC)
- …to comply with regulations (eg, Swap Dealer recordkeeping, SEC and FINRA WORM compliance , FRB/ OCC /FDIC Disaster Recovery testing). - Prepare and present risk and ... of benefits to its employees. **Role Description** The Director, IT Functional Control Officer (FCO) for Capital Markets/Nikko is a change agent and risk management… more
- SMBC (New York, NY)
- …Provide feedback and guidance, as necessary, to business units to ensure compliance with internal policies and procedures standards. + Monitor and supervise problem ... pass watch or any special credit reviews. + Manage compliance with internal policies, workflow procedures and ensure US...preferred. + Prior experience interacting with US Regulators (Fed, OCC or FDIC) preferred. + Ability to adapt to… more
- MTA (New York, NY)
- OCC Compliance Officer Job ID: 13446 Business Unit: Metro-North Railroad Location: New York, NY, United States Regular/Temporary: Regular Department: Date ... Posted: Oct 21, 2025 Description Job Title: OCC Compliance Officer Department: Transportation Operations MTA Agency: Metro-North Railroad Primary… more
- Huntington National Bank (Columbus, OH)
- …Legal. Basic Qualifications: + Bachelor's degree + Experience as broker dealer Chief Compliance Officer or lead compliance director for investment ... will have knowledge of investment banking and capital markets compliance requirements including relevant FINRA, SEC, OCC ...markets compliance requirements including relevant FINRA, SEC, OCC and MSRB rules and regulations with emphasis on… more
- Banco Popular Puerto Rico (New York, NY)
- …7, 2025 Location: New York, NY, US, 10004 Company: Popular Workplace Type: Hybrid Senior Compliance Officer II - Regulatory US B Regulatory Compliance We are ... looking for a Senior Compliance Officer to join our Compliance Team. The...+ Prior experience working with regulatory agencies, including FRB, OCC , FDIC, or CFPB. + Ability to analyze complex… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR-REGISTERED INVESTMENT ADVISOR* *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance oversight ... as a broker/dealer and/or registered investment adviser/ and the OCC . * For Wealth Management Compliance roles,...and the OCC . * For Wealth Management Compliance roles, experience working within a Compliance … more
- First Horizon Bank (Memphis, TN)
- …On site at location listed in job posting **SUMMARY** The Senior Risk Compliance Officer supports First Horizon Bank's internal control framework by designing, ... effectiveness of operational and regulatory controls to ensure the bank's compliance with internal policies and external regulations. The associate will collaborate… more
- KeyBank (Brooklyn, OH)
- …Ohio **About the Job** As part of Key's second line of defense Compliance Risk Management function, the Risk Evaluation and Assurance Program (the "REA Program") ... has the responsibility for evaluating Key's ongoing compliance with applicable laws and regulations through the execution...with respect to the execution of testing against applicable OCC regulatory expectations and pertinent regulations (eg - 12… more
- KeyBank (Brooklyn, OH)
- …Ohio 44144 **Job Description** As part of Key's second line of defense Compliance Risk Management function, the Risk Evaluation and Assurance Program (the "REA ... Program") has the responsibility for evaluating Key's ongoing compliance with applicable laws and regulations through the execution of compliance monitoring and… more
