- 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 ... groups, legal entities, geographies, and jurisdictions; and ensure that escalated compliance issues receive immediate senior management attention. + Establish,… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer for the Investment Solutions team within Wealth and Investment Management ... Compliance to focus on SEC Registered Investment Advisory Programs...and verbal communication skills. + Demonstrated ability to help lead working group activities. + Strong knowledge of overseeing… more
- Wells Fargo (New York, NY)
- **About this role:** We are seeking a highly experienced Senior Lead Compliance Officer to support the Structured Products Group (SPG) across both ... lending functions. This role combines strategic advisory and operational compliance responsibilities, ensuring robust regulatory compliance across asset-backed… more
- KeyBank (Brooklyn, OH)
- …may be filled at different salary grade levels depending on requirements.** ** Senior Service Officer Job Description:** **JOB BRIEF (PURPOSE)** Responsible for ... real estate seminars on targeted lending and equity programs ** LEAD SERVICE OFFICER :** **JOB BRIEF (PURPOSE)** Responsible...on job-related factors such as level of experience. The Senior Service Officer position is eligible to… 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...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- Ventura County (Ventura, CA)
- Investment Officer / Senior Investment Officer Print (https://www.governmentjobs.com/careers/ventura/jobs/newprint/5071037) Apply Investment Officer / ... Officer series. Under the general supervision of the Senior Investment Officer or senior ...& Verbal Communication - Preparing and presenting investment summaries, compliance reports, and market research findings for senior… more
- L3Harris (Rochester, NY)
- …in the interest of national security. Job Title: Senior Specialist, 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...reduce risk to the company. + Leadership and Culture: Lead by example, fostering a culture of integrity, accountability,… more
- Citigroup (Atlanta, GA)
- The **Partner Management Mgr Senior Lead Officer , Senior Vice President** role is accountable for complex/critical/large professional disciplinary areas ... required in order to negotiate internally, often at a senior level. Some external communication may be necessary. Incumbent...and contingency plans. + Partner with portfolio Chief Marketing Officer to design and execute in store strategy. +… more
- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk officer covering North American Cash Equities Sales and Trading businesses. The role is ... with senior leaders + Significant knowledge and expertise of Compliance laws, rules, regulations, risks and appropriate controls (Examples include Reg Sho,… more
- Bloomberg (New York, NY)
- Senior Compliance Officer -...regulatory, and reputational responsibilities * Support, and at times lead the team, on specific regulatory Compliance ... Compliance Location New York Business Area Legal, Compliance , and Risk Ref # 10043072 **Description & Requirements**...matter expertise to the privacy program, including being the lead for certain program pillars; * Support the team… more