Compliance Officer Jobs

1000+ jobs

CyberCoders Matching Great People with Great Companies Learn more about CyberCoders Chief Compliance Officer St. Louis, MO Full-Time $100,000 - $130,000 Apply Apply Chief Compliance Officer St. Louis, MO Full-Time $100,000 - $130,000 Apply Job Details We are a rapidly growing company who is thriving in our industry. We are always looking to add top-notch talent! What You Will Be Doin...

Our client is a community bank that is hiring a trust compliance officer in their trust and investment accounts. Responsibilities will include: Develop and implement policies and procedures for compliance throughout the Wealth Management department Assist in Federal regulatory exams Monitor account administration on personal, corporate, and investment accounts. Vendor Management Communicate e...

7 years of experience in a regulatory, compliance, legal and/or control role. Bachelor’s degree, MBA/JD preferred Fluent in Spanish, knowledge of Portuguese desired Knowledge of banking and wealth management products and services, bank regulatory and compliance requirements, and KYC /AML laws and regulations Exceptional reasoning and analytical skills Ability to work proactively with control ...

To support Regulatory Compliance by drafting, implementing, maintaining, performing training, auditing and enforcing policies to ensure Marketing Services Business Unit practices comply with applicable regulations, industry self-regulatory codes, Experian company values and principles, and regulatory requirements. Major Job Functions Drafts and reviews Privacy Policies. Answers questions on a da...

Bachelor's Degree 5 years AML experience required Prior experience with Investment Banking, Equity/Debt Capital Markets or Corporate Trust strongly preferred Prior experience in Markets, Prime Brokerage or Custody required Possess strong leadership and managerial skills, with the ability to interact effectively with Advisory compliance officers globally and other business and functional partne...

DescriptionTo support Regulatory Compliance by drafting, implementing, maintaining, performing training, auditing and enforcing policies to ensure Marketing Services Business Unit practices comply with applicable regulations, industry self-regulatory codes, Experian company values and principles, and regulatory requirements. Major Job Functions Drafts and reviews Privacy Policies. Answers quest...

Compliance Officer- Private Bank (Deputy Head Core and Sales Origination Compliance Officer for CPB NAM and LATAM)-14083134 Description This is a SVP position reporting to the Head of Compliance for CPB LatAm. Advisory support for the CPB LatAm Front Office, both offshore teams (Bankers, Relationship Officers, Service Teams and Supervisory Principals) and onshore bankers in Brazil and Mexico. C...

Compliance Officer- AML Advisory ICG Markets and Securities Services (SS) Compliance Officer-15030963 Description Provide AML and Sanctions Advisory Support for the Markets and Securities Services businesses at both a program and a client/transaction level, as required Provide compliance advice to the business with respect to applicability of policies and implementation of AML program and regul...

About us Description The Deputy Chief Compliance Officer and Chief Compliance Officer-BD Rx directly supports the VP and Chief Ethics & Compliance Officer and leads assigned elements of oversight and coordination of the compliance programs within BD on a global basis. The position will support the company's executives, management and associates in their efforts to achieve compliance with all rel...

Compliance Specialist / HMDA & Mortgage Compliance One of the fastest growing financial institutions in the Dayton area is continuing to expand their vibrant mortgage operation, and looking for a compliance specialist to join their team. The ideal candidate will have current knowledge of all regulations pertinent to mortgage origination with a special emphasis on HMDA compliance. This is an signi...

Job Summary The Compliance Officer researches, implements, and manages the areas of banking regulations and laws, banking policies and procedures, consumer protection, and public interest laws. The Compliance Officer will work closely with the Chief Operating Officer (COO) in overseeing compliance procedures and will also advise on risk management. The Compliance Officer will advise, oversee, an...

RESPONSIBILITIES: Kforce has a client seeking a Compliance Officer in the Jersey City, New Jersey (NJ) area. Summary: As a Compliance Officer, the successful applicant will be responsible for executing the Personal Trading Policy and Procedures. The ideal candidate will be responsible for reviewing Quarterly Access Persons reports for Investment Management staff. Additional functions will inclu...

Regional Compliance Officer: Centaurus Financial, Inc. is a full service broker/dealer and registered investment advisor catering to the independent investment professional. We are currently seeking a registered securities principal to join our Compliance Department in Anaheim, CA as a Regional Compliance Officer supporting branches throughout the United States. We offer an opportunity for a moti...

The Compliance Officer is responsible for monitoring compliance with laws and regulations through regular testing of controls, procedures and transactions. The Officer will communicate and coordinate effective compliance monitoring efforts for applicable consumer protection regulations. This Officer will evaluate changes in industry practices and legal/regulatory requirements and ensure timely and...

The Mortgage and Loan Servicing Compliance Specialist maintains comprehensive knowledge of regulatory requirements within the mortgage and consumer lending industry to ensure compliance with applicable mortgage and banking laws, regulations, policies and procedures. This position is responsible for the development and coordination of compliance efforts for residential mortgage and consumer loan or...

A global asset management firm focused on strategically managing real estate and other investment platforms seeks a Senior Compliance Officer who will be responsible for helping and ensure the Company satisfies the requirements set forth under the Investment Advisers Act of 1940 for the Company’s newly formed Registered Investment Adviser and the Investment Company Act of 1940. Reports directly t...

UBS aims to hire intelligent, motivated people to assist the Firm in navigating today's challenging regulatory and compliance environment. The C&ORC Review team is a cross-divisional team that conducts reviews of UBS's various businesses in order to proactively identify compliance issues (e.g., securities laws and broker-dealer rules & regulations, prudential regulations) and ensure adequate contr...

Position Summary Manage Internal Control framework and compliance with all relevant and applicable laws and regulations. The scope covers Americas: NAM and LATAM, existing companies and new acquisitions as needed. This position reports to the Chief Financial Officer, Americas. Position Description A. Develop the organizational control program, identifying key areas of risk, appropriate control...

Compliance Officer Mission Federal Credit Union, Mira Mesa To learn more and apply online, visit: https://www.missionfed.com/about-us/careers SUMMARY: Administers, directs, and supervises allareas of regulatory compliance, excluding the Bank Secrecy Act. Develops and maintains a compliance program to ensure the credit union meets regulatory requirements in all assigned areas. Serves as Mission ...

NEW POSITION OPEN at Allegheny County COMPLIANCE OFFICER Allegheny County Allegheny County is accepting applications for the position of Compliance Officer in the Department of Public Works. Salary: $4,714.00 per month maximum Minimum Requirements: Bachelors degree in Risk Management, Safety Science, Business/Public Administration, Human Resources or a related field AND four (4) years experience r...