- SMBC (Charlotte, NC)
- …Finance and Leasing Co., Ltd. **Role Description** The Director, IT Functional Control Officer (FCO) for Capital Markets/Nikko is a change agent and risk management ... a trusted advisor to the CM Nikko Chief Information Officer and their teams, driving a culture of accountability...(eg, Swap Dealer recordkeeping, SEC and FINRA WORM compliance, FRB/ OCC /FDIC Disaster Recovery testing). - Prepare and present risk… more
- MTA (New York, NY)
- Training Officer - OCC Job ID: 13856 Business Unit: Metro-North Railroad Location: New York, NY, United States Regular/Temporary: Regular Department: ... Operations Training Date Posted: Nov 25, 2025 Description Job Title: Training Officer - OCC Department: Operations Training MTA Agency: Metro-North… more
- Huntington National Bank (Boston, MA)
- …investment banking and capital markets compliance requirements including relevant FINRA, SEC, OCC and MSRB rules and regulations with emphasis on Regulation 9, the ... compliance program functions including implementation of written supervisory procedures, training , testing, information barriers, surveillance and AML compliance with… more
- MUFG (Irving, TX)
- …Trading business units with focus on the Markets Compliance program. The Compliance Officer will work closely with ACT teammates and various key regional and global ... (NFA), Federal Reserve Board (FRB), Office of the Comptroller of the Currency ( OCC ) and Investment Industry Regulatory Organization of Canada (IIROC) rules, and MUFG… more
- City National Bank (Wilmington, DE)
- *TRUST ADMINISTRATION OFFICER II* WHAT IS THE OPPORTUNITY? This is an entry level Personal Trust Officer position, responsible for administering personal trust ... * Complete discretionary distribution requests. Submit formal requests to the Trust Officer for approval. * Coordinate set up, tracking, and monitoring of personal… more
- Banco Popular Puerto Rico (New York, NY)
- …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 role may...to management in the execution of the annual compliance training program, including drafting training materials and… more
- Zions Bancorporation (Salt Lake City, UT)
- …the results to leadership, management committees and the Board. The Risk Officer will monitor the quality of risk management activities, influence and challenge ... appropriate tone, and clarity for internal and regulatory audiences (eg, OCC ). + Identify process improvement and risk mitigation opportunities, including the… more
- SMBC (Jersey City, NJ)
- …benefits to its employees. **Role Description** The Compliance - Functions Control Officer function plays a critical role in strengthening the Compliance function's ... the operating environment. **SCOPE** The role will report to Functions Control Officer Lead for Compliance. The incumbent will be responsible for supporting and… more
- City National Bank (New York, NY)
- *COMPLIANCE OFFICER SENIOR-INVESTMENT ADVISORY* *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance oversight and advisory role ... mitigate compliance risk. Maintaining regulatory change management, policies and procedures, training , and advisory matters. This role is responsible for oversight… more
- TD Bank (Greenville, SC)
- …Personal & Commercial Banking **Job Description:** The Regional Operations Officer II (ROO) provides leadership in developing, implementing and maintaining ... and procedures to ensure passing corporate audits and regulatory compliance / OCC /CFPB Compliance exams + Leads and manages regional operations matrix, Teller… more
