The Capital One Retail Bank Compliance team is seeking a Compliance Advisor Manager with a passion for advising and collaborating with business partners to mitigate consumer compliance risk and to take care of our customers. The Manager will join our Retail Bank Compliance team and act as a critical...
Works with the Business Line Risk Manager (BLRM) in overseeing first line of defense risk management responsibilities of the Wealth divisions in accordance with the Enterprise Risk Framework. Appropriately escalate identified issues to the Business Line Risk Manager and business unit management. Pro...
The Compliance Advisor Senior Manager will work independently from the CBD Chief Compliance Officer to manage a team of associates (registrations and licensing professionals and a compliance advisor) who interact with and advises the CBD LOBs on the need for and effective methods of managing complia...
CRCM (Certified Regulatory Compliance Manager), CIA (Certified Internal Auditor)). Professional Compliance or Audit Certification desired (e. ...
Works with the Business Line Risk Manager (BLRM) in overseeing first line of defense risk management responsibilities of the Wealth divisions in accordance with the Enterprise Risk Framework. Appropriately escalate identified issues to the Business Line Risk Manager and business unit management. Pro...
Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM), or Certified Fraud Examiner (CFE). Subject matter expertise of compliance and operational risk frameworks and a solid business understanding of the financial services industry. Plan, ...
Center 2 (19050), United States of America, McLean, VirginiaCommercial Broker Dealer Compliance Advisor - Senior ManagerThe Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. The Compliance Advisor Senior Manager will work independently f...
As the Customer Success Manager (CSM), you will report to the Manager, Customer Success, and will be responsible for driving product adoption, retention, and growth by delivering high levels of business value, and cultivating deep customer relationships. As a global leader, Sovos is transforming tax...
Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM), or Certified Fraud Examiner (CFE). Subject matter expertise of compliance and operational risk frameworks and a solid business understanding of the financial services industry. Plan, ...
Our client located in Wilmington, DE is seeking a IT Compliance Manager to work a hybrid schedule out of their Wilmington, DE office. IT Audit, Compliance and/or Governance. ...
CRCM (Certified Regulatory Compliance Manager), CIA (Certified Internal Auditor)). Professional Compliance or Audit Certification desired (e. ...
Works with the Business Line Risk Manager (BLRM) in overseeing first line of defense risk management responsibilities of the Wealth divisions in accordance with the Enterprise Risk Framework. Appropriately escalate identified issues to the Business Line Risk Manager and business unit management. Pro...
As a global leader, Sovos is transforming tax compliance from a business requirement to a force for growth while revolutionizing how businesses navigate the ever-changing regulatory landscape. At Sovos, we're dedicated to more than just solving compliance challenges – we're committed to making...
This position reports to the Senior Director, Compliance Monitoring, Risk, and Investigations and is responsible for leading Compliance monitoring activities, developing and tracking corrective and preventative action plans related to compliance issues, and managing risk assessments. The position wi...
Senior Manager, Technical Program Management (Bank Tech). About the team: As a Senior Manager of Technical Program Management (TPM) on Capital One’s Enterprise product & platform organization, we’re looking for someone that can help us build solid platforms on mobile and web surfaces that will h...
Assist the Senior Wealth Compliance Officer with the creation of internal compliance training materials while assuring Trust Compliance program is continuously updated to maintain full compliance with applicable regulations. The Wealth Compliance Officer will ensure compliance with applicable OCC, S...
Project Manager, Financial Services. The Project Manager will be an integral part of driving efficiency throughout the firm and highly visible across all core functions. This is a unique opportunity to identify, spearhead, and oversee key projects to help the organization create and enhance a scalab...
Under the Executive Director of Financial Aid guidance, the Associate Director - Compliance is directly responsible for ensuring compliance with federal and state financial aid rules and regulations, as well as instructional policies and procedures. Other duties as assigned by the Financial Aid Exec...
As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class. As a Fair Lending Quant Modeling Analyst,...
As a Design Manager Associate on our Digital and Customer Experience team supporting Operations, you will be responsible for planning and managing the day-to-day workflow, processes and reporting that support our User Experience design project work across Digital and Customer Experience (DCE). Track...
The Senior Manager, Forensic Technology will be responsible for assisting the Managing Director of Legal Operations build out the service line by developing and cultivating new business relationships with enterprise legal departments to operationalize and build processes and workflows to help run le...
Director will be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional FINRA registered broker-dealers and provide compliance support to the Capital Markets line of business, a division within the Commercial Bank of Capital One. The BD CCO will lead a BD ...
JPMorgan Chase Consumer and Community Bank (CCB) is searching for a talented and highly motivated individual to join the Machine Learning & Intelligence Operations (MLIO) team as a Vice President, Product Manager to lead customer service transformation and personalization for the bank. As a Prod...
This role will work with the operations, technology and product to help execute the long-term strategy while identifying solutions ready for today. Ensuring Operations and partners are kept informed on strategic direction, and proactively aware of key deliverables. Be the subject matter expert in Op...
Reporting into the Enterprise Chief Compliance Officer, this is a leadership role within SoFi's Compliance organization. As the leading subject matter expert on regulatory matters for the Broker dealer and RIA, Aadvise the Compliance and Legal teams on emerging compliance issues, regulatory changes,...