- 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 ... + Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory… more
- CRC Insurance Services, Inc. (Charlotte, NC)
- …1st Shift (United States of America) **Please review the following job description:** The Senior Cyber Regulatory Officer will lead a team to provide ... guidance. + In partnership, with Legal and Privacy Officer , monitor changes in the global, federal, and state...organization on the planning and delivery of strategic or regulatory compliance -related projects, ensuring adherence to … 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
- 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
- Wells Fargo (Minneapolis, MN)
- …Financial Conduct Authority, OCC, SEC etc. + Knowledge and understanding of regulatory compliance requirements surrounding SOX Sarbanes-Oxley Act. + Ability to ... collaboration, and adaptability are important. + Specialized knowledge or prior regulatory compliance testing or review experience. + Experience reviewing… 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
- Ventura County (Ventura, CA)
- …research on economic trends, interest rate changes, and fixed-income markets. + Regulatory Compliance & Policy Adherence - Supporting adherence to investment ... Investment Officer / Senior Investment Officer Print...ensure best execution and favorable pricing on investments. + Regulatory Compliance & Governance - Ensuring investment… 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 ... *Must-Have** * Bachelor's Degree or equivalent * Minimum 7 years of compliance , regulatory compliance with respect to registered investment adviser products… more
- 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
- 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 ... agency bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements,… more