The Allspring Global Sales Practice Compliance team is seeking a Compliance Officer who will be responsible for assisting in the review of global marketing communications. Support compliance's review and approval of advisor/broker dealer and international marketing materials and various other electr...
Wells Fargo is seeking a Lead Compliance Officer in Consumer Lending Compliance as part of the Credit Card Compliance Team. Experience developing, implementing, and monitoring a risk-based compliance program to assure compliance with federal, state, agency, legal and regulatory requirements or provi...
The compliance officer is responsible for independently monitoring business information barriers and the protection of MNPI across various forms of communication and media. Manage compliance risk management communications, training, documentation, procedures, and processes. Monitor and communicate c...
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...
Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise Compliance Management Policy and Framework. May manage other Compliance teammates and serve as mentor to other Compliance Officers and Analysts. Responsible for conducting and directing compl...
Reporting into the Chief Compliance Officer of Allspring Funds Management, LLC, the Senior Compliance Analyst will primarily support the Compliance program functions of Allspring's retail managed accounts business. The Senior Compliance Analyst will provide oversight and challenge to business compli...
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 examination preparations. Oversee execution of applicable laws and re...
Background in regulatory compliance with a strong understanding of compliance frameworks. Please note that candidates must have a Compliance background related to Markets / Trading with the ability to create and write out Supervisory procedures in the space. Previous experience in compliance within ...
Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise Compliance Management Policy and Framework. May manage other Compliance teammates and serve as mentor to other Compliance Officers and Analysts. Regular or Temporary:RegularLanguage Fluency: ...
A large bank is hiring for Compliance Officers and looking to do interviews immediately! This role could convert to a direct hire role. Background in regulatory compliance with a strong understanding of compliance frameworks. Previous experience in compliance within the markets/trading industry, pre...
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 ...
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 ...
Wells Fargo is seeking a Lead Compliance Officer in Consumer Lending Compliance as part of the Credit Card Compliance Team. Experience developing, implementing, and monitoring a risk-based compliance program to assure compliance with federal, state, agency, legal and regulatory requirements or provi...
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...
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...
The Allspring Global Sales Practice Compliance team is seeking a Compliance Officer who will be responsible for assisting in the review of global marketing communications. Support compliance’s review and approval of advisor/broker dealer and international marketing materials and various other electr...
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...
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 the Compliance Director, you will be responsible for managing workers’ compensation regulatory risk by ensuring business operations are performing in compliance with federal, state, and local laws. The Compliance Director will be responsible for the design, strategy, and management of an industry...
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...
The Compliance Analyst will primarily support the centralized Compliance monitoring program for Allspring Global Investments by performing testing, monitoring and other Compliance program related activities. Allspring is looking for a Compliance Analyst that will be an integral part of the Allspring...
IT Compliance Analyst (Energy sector, NERC CIP, Medium). ...
Compliance Senior Analyst, Independence Consultation - Business Relationships, Independence & Conflicts Network (ICN). Do you have a focus on compliance with regulations and policies? Are you passionate about quality-assurance and risk-management in a professional services environment? Then our ...
Data Analyst in our Compliance Technology Team, you will be responsible for collecting, organizing, and analyzing data to help the organization in its compliance processes. Proven experience (5+ years) as a Data Analyst, Data Engineer, or similar data focused role within the financial industry, with...
Under the direction of Senior Vice President, Associate General Counsel, the. VP, Assistant General Counsel. Provide day-to-day counseling on employment matters to Human Resources partners. Handle administrative matters at federal and state agencies such as the EEOC, or California DFEH or DLSE; over...