Serves as a senior CitiDirect & CitiConnect product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a ris...
This team focuses on several key compliance risk types, including consumer compliance, investment banking related compliance, conduct, regulatory compliance, reputation, strategic, and technology risk. Managing compliance-driven initiatives and/or processes which require close partnership with compl...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. Particip...
Serves as a compliance risk officer for Surveillance Intelligence Unit (SIU) within Independent Compliance Risk Management (ICRM)s Surveillance and Employee Compliance team responsible for the design, implementation, and oversight for controls and solutions supporting Surveillance, Employee Complian...
Global bank located in Jersey City looking to bring on board a “Employee Compliance Officer – VP” to join their team. Play a lead role with implementing employee compliance policies, in conformance with written procedures. Timely escalate high-risk requests for a second review, including any evidenc...
Fidelity Compliance, a 600-person organization, is accountable for business unit compliance strategy and oversight in addition to providing enterprise services and policies regarding Ethics, Digital Compliance practices, Anti-Money Laundering. As the leader of the Compliance team for Fidelity Digita...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. Partici...
The Risk Management & Compliance CFO organization acts as strategic partners and trusted advisors to the Risk and Compliance organization. As part of RM&C CFO, the RM&C Finance & Business Management team supports the firm's Chief Risk Officer, RM&C Chief Financial Officer and the Risk Operating Comm...
Provide ideas for the enhancement of the compliance testing program, monitoring plan, and industry research, leveraging Compliance advisory. Compliance Testing Program, a critical program element of the U. Regulatory Compliance Management (RCM) framework for RBC Combined U. Leading compliance testin...
As a Compliance - OFAC Sanctions Officer - Associate in Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. The job responsibilities of this Sanctions Compliance Officer position involve the completion of processes around regulatory promoten sanction...
This team focuses on several key compliance risk types, including consumer compliance, investment banking related compliance, conduct, regulatory compliance, reputation, strategic, and technology risk. SMBC Group is seeking a Compliance Transformation Officer for the Compliance Department Americas D...
As a Global Financial Crimes Compliance Detect and Report Investigator in the Global Financial Crimes Compliance Group, you'll be responsible for protecting our domestic and international clients; therefore, this position requires proven investigative abilities, time management skills, business acum...
The CCO will manage examinations and communications with regulatory entities, handle regulatory filings, manage customer complaints, and perform ongoing compliance surveillance functions. Initially, you will work closely with the CEO to develop the role and compliance structure within the company. B...
We are keen to see CV's from Compliance Officer, Building Safety Officer, Senior Compliance Co-ordinator, Compliance Surveyor, Fire Safety Co-ordinator, Asbestos Co-ordinator. We are actively looking for a Compliance Officer to join a local authority in the Nottinghamshire area on a temporary basis....
As a Compliance Officer, you will be responsible for ensuring that the company and its employees comply with internal policies and external regulations. You will conduct audits, assess risk, and implement compliance programs to mitigate legal and regulatory risks. Develop and implement compliance po...
Serves as a compliance risk officer for Surveillance Intelligence Unit (SIU) within Independent Compliance Risk Management (ICRM)’s Surveillance and Employee Compliance team responsible for the design, implementation, and oversight for controls and solutions supporting Surveillance, Employee Complia...
As a Compliance Officer, you will be responsible for ensuring that the company and its employees comply with internal policies and external regulations. You will conduct audits, assess risk, and implement compliance programs to mitigate legal and regulatory risks. Develop and implement compliance po...
Serves as a Control Group compliance officer, specifically relating to research publications for the Independent Compliance Risk Management (ICRM) department. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the Research Dep...
Asa Compliance Officer you will be responsible for ensuring that thecompany and its employees comply with internal policies andexternal regulations. You will conduct audits assess risk andimplement compliance programs to mitigate legal and regulatoryrisks. Developand implement compliance policies an...
The Risk Management & Compliance CFO organization acts as strategic partners and trusted advisors to the Risk and Compliance organization. As part of RM&C CFO, the RM&C Finance & Business Management team supports the firm's Chief Risk Officer, RM&C Chief Financial Officer and the Risk Operating Comm...
The Compliance Anti-Money Laundering (AML) Risk Management Senior Officer is a senior level position responsible for establishing internal procedures to prevent money laundering and assist in all matters concerning financial crimes in coordination with the broader AML team. Maintain AML compliance p...
As a Compliance Officer, you will be responsible for ensuring that the company and its employees comply with internal policies and external regulations. You will conduct audits, assess risk, and implement compliance programs to mitigate legal and regulatory risks. Develop and implement compliance po...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Compliance Independent Assessment (CIA) team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Assisting with the identification of Significant Complianc...
As a Compliance Officer, you will be responsible for ensuring that the company and its employees comply with internal policies and external regulations. You will conduct audits, assess risk, and implement compliance programs to mitigate legal and regulatory risks. Develop and implement compliance po...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Compliance Independent Assessment (CIA) team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Assisting with the identification of Significant Complianc...