Compliance Officer Jobs

1000+ jobs

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...

Senior 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 Me...

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...

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...

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 ...

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...

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...

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...

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...

As the WMA Equities Compliance Officer you will support compliance for all legal entities in Wealth Management Americas with respect to the equities and exchange traded securities business. Key Responsibilities: Provide clear and articulate advice on transactions, compliance policies and procedures, and regulatory developments to the trading desk, operations, IT and the branch office network. M...

JOB DESCRIPTION Job Title: PLANNING AND COMPLIANCE OFFICER Reports To: PLANNING AND COMPLIANCE MANAGER Location: SUN LAKES COUNTRY CLUB Department: PLANNING AND COMPLIANCE SUMMARY To assist in the enforcement of the Association’s CC & R's and Rules and Regulations. To assist the Planning and Compliance Manager in Architectural meetings/processing and landscape/maintenance work orders. Report...

Job Description: This Compliance Officer Position Features: Helps instill and maintain high ethical standards of organization, team leaders and associates. Develops, initiates, maintains, and revises policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct. Engages in proactive surveillance activit...

Wouldn’t it be nice to work for a company where the mission makes sense, the salaries are competitive, the company listens to the needs of the employees and the office is professional yet the dress is casual? Access Management Services is a health care services and support company serving Colorado Access and its subsidiaries. Colorado Access is a nonprofit health plan supporting the medical, beha...

Wouldn’t it be nice to work for a company where the mission makes sense, the salaries are competitive, the company listens to the needs of the employees and the office is professional yet the dress is casual? Access Management Services is a health care services and support company serving Colorado Access and its subsidiaries. Colorado Access is a nonprofit health plan supporting the medical, beha...

Director of Quality Improvement/ Regulatory Affairs/Case Management and Corporate Compliance Officer. Woodlawn Hospital, a non-profit, 25 bed critical access facility has an excellent opportunity for an experienced manager to lead the Quality Improvement, Regulatory Affairs, Case Management and Corporate Compliance functions. The successful candidate must be a Registered Nurse with a current I...

Description: Bring us your experience, your head for strategy, your strength with relationships and your eye for opportunity. In return we offer an unmatched place to grow and develop your career among a richly diverse group of businesses driven by the power and stability of a leading health care organization. Come help us heal and strengthen the health care system as you do your life's best work...

This position is responsible for coordinating and preparing financial forecasts for EDA’s Incentives Programs to support the State Office of Management Budget/Treasury NJ budget planning process. Salary Range - $68,400 - $83,600 Primary liaison and budget coordinator with state agencies (Office of Management & Budget, Division of Taxation, Office of the Treasurer) for cash reimbursement incentiv...

The Information Assurance Compliance Officer will provide information assurance knowledge to conduct Information Assurance (IA) duties including Certification and Accreditation (C&A) and Information Vulnerability Management activities. The Information Awareness Office (IAO) will have a working knowledge of the Department of Defense Information Awareness Certification Accreditation Process (DIACAP)...

Description: Bring us your experience, your head for strategy, your strength with relationships and your eye for opportunity. In return we offer an unmatched place to grow and develop your career among a richly diverse group of businesses driven by the power and stability of a leading health care organization. Come help us heal and strengthen the health care system as you do your life's best work...

Description: Bring us your experience, your head for strategy, your strength with relationships and your eye for opportunity. In return we offer an unmatched place to grow and develop your career among a richly diverse group of businesses driven by the power and stability of a leading health care organization. Come help us heal and strengthen the health care system as you do your life's best work...