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...
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 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 Compliance...
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 Complian...
Fun Chief Compliance Officer - HYBRID. This position will act in the capacity of Chief Compliance Officer for certain investment company clients. Primary responsibility will be to ensure fund and service providers' compliance with Rule 38a-1 of the Investment Company Act of 1940. Oversee maintenance...
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...
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...
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 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...
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...
Fun Chief Compliance Officer - HYBRID. This position will act in the capacity of Chief Compliance Officer for certain investment company clients. Primary responsibility will be to ensure fund and service providers’ compliance with Rule 38a-1 of the Investment Company Act of 1940. Oversee maintenance...
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...
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 Compliance Officer is an integral part of the Firm’s Compliance team. Will report to and work closely with the company's Chief Compliance Officer as to issues, problems, and sales practice. Compliance experience with a Broker-Dealer or an Investment Adviser / Broker-Dealer, Compliance Consulting...
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...
Manages compliance monitoring activities and borrower/grantee document report processing in business loan and grant portfolios according to program requirements and EDA policies Responsibilities Essential Duties and Responsibilities Evaluates, review Compliance Officer, Officer, Compliance, Business...
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...
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...
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...
Fun Chief Compliance Officer - HYBRID. This position will act in the capacity of Chief Compliance Officer for certain investment company clients. Primary responsibility will be to ensure fund and service providers’ compliance with Rule 38a-1 of the Investment Company Act of 1940. Oversee maintenance...
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...
Contract Compliance Officer - Night Shift. Contract Compliance Office - Night Shift. Ensure compliance with client policies & procedures, approved cleaning tools and equipment and their proper use. ...
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...