We are currently looking for a highly motivated Compliance professional for the AVP, Compliance Officer role supporting our newest Broker-Dealer/Investment Advisory firm, LPL Enterprise. This role will work with the Chief Compliance Officer to assure the firm establishes and maintains a robust compl...
Executes compliance risk management activities to reasonably ensure compliance with the Compliance Risk Management Policy and Framework. Responsible for conducting compliance risk oversight of assigned business units and/or functions. Manage compliance risk management communications, training, docum...
The Deputy Compliance Officer role supports the Chief Compliance Officer (CCO) in managing the Compliance function and will be responsible for providing guidance and oversight across the broker dealer's compliance management program, ensuring that teams are proactively understanding regulatory requi...
Establishing compliance standards and procedures to mitigate compliance risks and improper conduct, ensuring these standards are institutional throughout the business units, and monitoring compliance with such standards. Lead the implementation and direct an effective compliance risk management prog...
Being effective as a compliance officer often involves helping management find new and creative ways to be profitable while maintaining compliance standards that protect the Firm. Compliance Coverage Officers (COs). As part of this responsibility, COs generally are responsible for the oversight of r...
The Compliance Officer manages the general planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Develops a...
Engages in activities to provide support to the Compliance and Operational Risk teams in order to provide independent compliance and operational risk oversight of Front Line Unit or Control Function performance and any related third party/vendor relationships in alignment with the Global Compliance ...
They are actively seeking an executive Compliance Officer to join the company. The ideal candidate is a highly skilled Compliance Officer who will be responsible ensuring the organization complies with all relevant federal, state, and local regulations. The role will involve spearheading our complia...
May manage other Compliance teammates and serve as mentor to other Compliance Officers and Analysts. Lead or assist in leading compliance initiatives necessary in implementing changes. Analyze and provide guidance on complex compliance actual and emerging risk scenarios within business units and/or ...
As a Sr Export Compliance Officer (IT Lead) here at Honeywell you support the Export Compliance team responsible for IT operations and will report to a Sr. This position will work closely with Honeywell IT to design and implement new tools to reinforce export compliance requirements. Perform Unit, S...
The Deputy Compliance Officer role supports the Chief Compliance Officer (CCO) in managing the Compliance function and will be responsible for providing guidance and oversight across the broker dealer’s compliance management program, ensuring that teams are proactively understanding regulatory requi...
Provide oversight and monitoring of business group risk based compliance programs Maintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple business lines Establish, implement and maintain risk standards and programs to drive compliance ...
Track and reports on compliance with cyber regulatory requirements. Lead efforts to prepare and inventory responses for IT security questions from regulators, AIG customers and other business affiliates as appropriate and in close coordination with the Head of Governance, Risk and Compliance. Abilit...
We are seeking a highly skilled and experienced Chief Compliance Officer to join our dynamic team. The Chief Compliance Officer will play a critical role in ensuring that our organization adheres to all relevant laws, regulations, and industry standards while maintaining a culture of integrity and e...
May manage other Compliance teammates and serve as mentor to other Compliance Officers and Analysts. Lead or assist in leading compliance initiatives necessary in implementing changes. Analyze and provide guidance on complex compliance actual and emerging risk scenarios within business units and/or ...
As a Sr Export Compliance Officer (IT Lead) here at Honeywell you support the Export Compliance team responsible for IT operations and will report to a Sr. This position will work closely with Honeywell IT to design and implement new tools to reinforce export compliance requirements. Perform Unit, S...
The President and Chief Compliance Officer, for BDO Capital Advisors, LLC will serve dual roles in leading the organization’s investment banking subsidiary and managing its operational and compliance functions. The President and Chief Compliance Officer will work on building, implementing, and overs...
As a Sr Export Compliance Officer (IT Lead) here at Honeywell you support the Export Compliance team responsible for IT operations and will report to a Sr. This position will work closely with Honeywell IT to design and implement new tools to reinforce export compliance requirements. Perform Unit, S...
Engages in activities to provide independent compliance and operational risk oversight of FLU or Control Function (CF) performance and any related third party/vendor relationships in alignment with the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy (collec...
We are currently seeking a Financial Services Risk and Compliance Consulting Director to join our team in Charlotte, NC, or NYC,United States (US). The Risk & Compliance Consulting team includes management consultants who help our Financial Services clients effectively navigate today's risk manageme...
We are seeking a Director to lead, plan, and oversee the fair banking compliance outsourcing projects, with a specific emphasis on fair lending, CRA, and UDAAP. Work with other Managers, Directors, and clients to address compliance issues. An exciting job opportunity is available in CLA's Financial ...
Collaborate closely with asset managers and outside counsel to balance risks and benefits in connection with developing resolution strategies and implementation. General Description of Available Benefits for Eligible Employees of Truist Financial Corporation:. ...
Practical work experience involving compliance testing/monitoring, compliance audits, compliance training, control testing, and data analytics at banks and financial institutions of various types and sizes. As a Banking Compliance Risk Senior Manager, you will get the opportunity to grow and contrib...
At Regions, the Business Unit Compliance Analyst is a first line of defense risk management function that ensures that business unit activities follow necessary rules and regulations and comply with legal boundaries and jurisdictions. High School Diploma or GED and nine (9) years of experience in Co...
Serve as technical liaison for GBAM Compliance and Operational Risk groups regionally on interactions with internal technology teams and external vendors on all product-specific surveillance matters. Support team efforts to provide technical liaison for GBAM Compliance and Operational Risk groups re...