Compliance Officer: salario promedio en Pineville, NC in 2024
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Sr. Export Compliance Officer
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...
Community Reinvestment Act (CRA) Compliance Officer II
Completion of the American Bankers Association's Compliance School or Compliance certification. Facilitate the administration of Truist's Community Reinvestment Act ("CRA") compliance and performance framework, including assisting with examination preparations. Oversee execution of applica...
VP- LPLIA & Insurance Compliance Coverage Officer
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...
Sr Manager, Compliance Officer - Office Inspections
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...
AVP, Compliance Officer
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...
Compliance Officer
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...
Deputy Compliance Officer
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...
Cyber Technology Compliance and Operational Risk Officer
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 ...
Public Finance Compliance Officer
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...
Chief Compliance Officer Onsite or Remote
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...
Compliance Officer
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...
Deputy Compliance Officer
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...
Sr. Export Compliance Officer
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...
Senior Compliance Officer
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 ...
Sr. Export Compliance Officer
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...
Sr. Export Compliance Officer
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...
Lead Compliance Officer
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 ...
BDO Capital Advisors, President & Chief Compliance Officer
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...
Cyber Compliance Officer
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...
Compliance Officer I - Privacy (Remote)
Overview Bring your experience as a Privacy Professional to First Citizens Bank! This position reports to the Director, Privacy Advisory and Programs Officer and is responsible for supporting the various advisory and program-based activities in Privacy Compliance, including privacy incident response...
Senior Compliance Officer - Broker/Dealer
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 ...
Lead Compliance Officer
This Lead Compliance Officer will conduct monitoring activities of the front line of Municipal Products Group (MPG) for compliance with MSRB, FINRA, and SEC rules. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance...