A company is looking for a Compliance Officer based in Gibraltar. ...
The CRA & Compliance Officer is responsible for overseeing and ensuring compliance with both the Community Reinvestment Act (CRA) regulations, consumer and other compliance requirements within the bank. The CRA & Compliance Officer collaborates with internal departments to assess CRA performance, id...
A company is looking for a Compliance Officer - Manager to oversee and manage licensing and regulatory compliance for money transfer operations. ...
Working Title: COMPLIANCE OFFICER - 43005180. Florida Firefighter II Certificate of Compliance per Florida Statute 633. Conduct inspections of employer facilities and employer equipment to ensure compliance with adopted workplace safety, uniform rules and adopted standards. Continuously study firefi...
A company is looking for a Corporate Compliance Officer to lead compliance policy development and manage audits. ...
The Global KYC Policy team, within Independent Compliance Risk Management (ICRM) function, is seeking dynamic and experienced AML compliance officer to drive Know Your Customer Policy- Strategic Change initiatives. The role will play a pivotal part in assessing and driving forward strategic initiati...
Marketing & Corporate Compliance Monitoring Officer is also responsible for the execution of targeted corporate and advertising compliance monitoring reviews as established by the Compliance Monitoring Program, to assist in maintaining compliance risk within established risk appetite levels. Marketi...
Arena is looking to expand the team through the addition of a senior Compliance Officer. Support front, middle and back-office personnel on a wide variety of regulatory compliance issues primarily in compliance with the Investment Advisers Act of 1940;. In this role, this individual will work closel...
On site in Memphis, TN, Johnson City, TN, Asheboro, NC, Longwood, FL, Miami Lakes, FL.The position is responsible for performing complex confidential research and investigations of money laundering and other financial crimes.Must have in-depth knowledge of BSA/AML/OFAC regulations.ESSENTIAL DUTIES A...
As a compliance officer in our Miami office, you will work closely with our Trading, Legal, Risk, Finance, and Technology teams by providing expert compliance support. We're seeking an experienced compliance officer who will add value by playing a crucial role in ensuring our business operates and g...
The Chief Compliance Officer is responsible for ensuring compliance with all state and federal laws and FINRA rules and regulations. Develop and implement regular and ongoing compliance training for company personnel and serve as a resource for all RIA compliance issues. Provide strategic executive ...
Compliance Officer – Wall Cross & Research. Interact with the business and compliance teams on a daily basis to provide advice and guidance to firm personnel on compliance matters. This role will provide senior Compliance coverage in relation to handling and preventing the use of material non-public...
Working Title: COMPLIANCE OFFICER - 43005181. Florida Firefighter II Certificate of Compliance. Conduct inspections of employer facilities and employer equipment to ensure compliance with adopted workplace safety, uniform rules and adopted standards. Continuously study firefighter employee occupatio...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains ri...
This individual will join the AML Risk Insights and Strategic Control Enhancements team and support the Strategic Control Enhancements function.The successful candidate will be a strategic professional who stays abreast of industry trends and developments within AML and contributes to the program di...
The Risk Compliance Officer develops, administers and monitors programs for compliance with laws, regulations and rules governing bank operations, products and services. The incumbent provides quality, accurate and timely information to internal clients to ensure compliance risks are appropriately m...
This individual will join the AML Risk Insights and Strategic Control Enhancements team and support the Strategic Control Enhancements function.The successful candidate will be a strategic professional who stays abreast of industry trends and developments within AML and contributes to the program di...
The CMMC Compliance / Facility Security Officer (FSO) will provide onsite support for all security actions in accordance with Federal government security regulations. The incumbent will serve as the liaison with US government counterparts, conduct security briefings and debriefings, monitor classifi...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains ri...
Global Regulatory Compliance, Mutual Funds is a five-person team responsible for overseeing the compliance programs of the US domiciled registered investment companies for the Chief Compliance Officers. Support the Chief Compliance Officers (CCOs) in the preparation, assembly, and dissemination of t...
The Chief Compliance & Ethics Officer ensures that University officials, management, and employees are in compliance with applicable laws and the rules, requirements, and regulations of applicable state and federal governing and regulatory agencies; that University policies and procedures are being ...
We are looking for an experienced Compliance Officer to play a vital role in ensuring regulatory compliance across multiple teams, including Trading, Legal, Risk, Finance, and Technology. Responsibilities: Compliance Officer - Capital Markets. As a Compliance Officer within this Market Maker, your r...
Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maint...
Arena is looking to expand the team through the addition of a senior Compliance Officer. Support front, middle and back-office personnel on a wide variety of regulatory compliance issues primarily in compliance with the Investment Advisers Act of 1940;. In this role, this individual will work closel...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains ri...