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 ...
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 Enterprise Compliance Management Policy and Framework for the Institutional Broker Dealer. May serve as mentor to other Compliance Officers and Analysts. Responsible for conducting and directing compliance risk o...
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...
Reporting into the Chief Compliance Officer, this person will manage a team of AML professionals and overseeing all aspects of organizational compliance with AML laws and regulations, internal reporting and interactions with regulators and FNZ Global Risk and Compliance. The AML Officer is responsib...
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...
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...
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...
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...
Reporting into the Chief Compliance Officer, this person will manage a team of AML professionals and overseeing all aspects of organizational compliance with AML laws and regulations, internal reporting and interactions with regulators and FNZ Global Risk and Compliance. The AML Officer is responsib...
Take full ownership of our compliance program with the aid of our General Counsel and outside compliance resources to maintain a best-in-class and proactive compliance program. We are hiring an experienced executive to be our Chief Compliance Officer. In this role, you will play a crucial part in en...
Join a team recognized for leadership, innovation and diversityAs 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 to...
Wells Fargo is seeking a Senior Lead Compliance Officer to support the business aligned compliance functions on the Fixed Income Sales & Trading Compliance Team. This role within the Fixed Income Sales & Trading Compliance Team is the Business Aligned Compliance Officer (BACO) for the Structured Pro...
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 ...
Reporting directly to the Commercial Operations Director, the Facility Security and Compliance Officer will manage site security planning, compliance, and coordination in accordance with the US Government and corporate requirements. Maintain compliance with all U. Provide oversight to ensure complia...
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...
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...
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 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...
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...
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...
Provides BACO support as needed across Compliance Program Policy (CPP) elements such reg inventory and reg change, compliance risk identification, escalation, and mitigation; BACO support for RCSA RAUs, issues management and corrective action reviews, Third Party compliance risk reviews and perform ...
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 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...
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 ...