Chief Compliance Officer Jobs

VP, Compliance Location: Confidential
Summary: Develop and manage the Firms contact and relationship with its regulators, ensuring that communications between the Firm and its regulators are open and constructive. " Industry contacts. Lead communications with
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Head of Compliance - Mortgage Location: Delaware
Summary: Staying current on regulatory developments Working with compliance manager and operations to prepare and implement SOPs Performance of internal auditing to check compliance activities Supporting businesses undergoing regulatory and customer
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Regulatory Compliance Leader Location: Florida
Summary: The Lending Compliance Officer is responsible for supporting compliance oversight of lending activities and to assist business units to ensure business practices and procedures provide a sufficient control environment to manage lending compliance
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VP Compliance- Global Broker Dealer Location: New York City
Summary: Global Broker Dealer Seeks a VP Compliance to Join its Team *Reporting to Chief Compliance Officer *Support a global swap business subject to CFTC and NFA regulation *Oversee the companys policies and procedures to ensure compliance
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GCP Clinical Compliance Manager - Chicago, IL Location: Chicago
Summary: ensuring Quality Compliance in clinical trials according to Good Clinical Practices (GCP) including but not limited to: *** GCP audit planning *** Coordinate, conduct, and track company-wide Regulatory Training (ICH-GCP) *** Create,
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Contractual Compliance Director Location: California
Summary: Ambassador for the Contractual Compliance program, processes and standard operating procedures Contribute to the development, implementation, execution and oversight of the contractual compliance program Manage and utilize systems and tools
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VP AML Compliance Location: Utah
Summary: Continue to foster a strong compliance culture within the Bank Establish direct, periodic communications and ensure that Bank compliance initiatives are conducted in coordination with BHC resources and are aligned with BHC standards. Prepare
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VP of Corporate Compliance Location: East Central USA
Summary: The VP of Corporate Compliance manages a team with broad responsibilities as well as personally completes a number of individual duties and responsibilities. Responsibilities * Acts as the Company representative in addressing claims
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VP Institutional Lending Compliance Location: New York
Summary: Responsible for providing lead coverage for Transaction with Affiliates (Reg W), Insider Lending (Reg O)and Anti-Tying regulations in the firms U.S. banking entities.RESPONSIBILITIES: " Providing advice and guidance to institutional lending
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VP Bank Regulatory Compliance Location: New York
Summary: * Interact with various regulatory agencies - FDIC, FRB, etc. * Manage the Federal Reserve exam process including inquiries, follow-up, etc. * Status tracking and reporting of various issues. * Develop various controls, procedures and policies
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VP - Regulatory Compliance Location: New York City
Summary: Responsible for Regulatory Compliances Customer Complaint and Annual Compliance Report Process as well as assisting with inquiries and examinationsMain Duties " Investigate, track and report customer complaints. " Assist with regulatory inquiries
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VP of Compliance Location: Florida
Summary: ý 7-10 years banking experience ý 5 years Anti-Money Laundering experience to include external to United States knowledge/ experience ý Conversant in Latin American criminal organizations and AML typologies ý Computer literate
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Vice President - Control Room Research Compliance Location: New York
Summary: Responsible for assessing and monitoring risks across Macquarie. The Compliance Division within Macquaries Risk Management Group provides compliance support and advice to Macquaries operating businesses. Supporting the head of our Control
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VP Risk and Compliance Location: Boston
Summary: Responsible for supporting the rapid development, scale, and management of the companys operations, specifically as they relate to mitigating risk exposure and achieving relevant levels of compliance. This will likely include but is not limited
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VP, Compliance, Global Investment Bank Location: Confidential
Summary: Responsible for compliance reviews across the IB and Corporate banking business in APAC. This team is a dedicated function within compliance focused on proactively assessing and reporting on areas of potential regulatory and reputational risks
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Senior Manager/VP- Compliance/AML Audit Location: New York
Summary: "Establish audit scope, develop audit planning memorandums, complete required test work draft reports documenting findings; " Assist in preparation and execution of audit plans with a focus on companys compliance activities;
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Data Security Compliance & IT Auditing Officer Location: Nevada
Summary: Data Security Compliance & IT Auditing Officer will play an intricate role in ensuring the safeguarding of customer information and compliance with all regulatory requirements. The ideal candidate will be self-motivated, possess technical skills
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Compliance Manager Location: New York
Summary: Responsibilities: · Manage the relationship between technology and compliance · Provide technology guidance to the Compliance department and ensure that Compliance technology needs are communicated effectively to the tech
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Compliance Data Mining Analytics Officer Location: New York
Summary: The ideal candidate will have a strong financial background and design analytics across multiple institutional product areas. Experience managing and leading small teams is a must. Also need to effectively perform quality control over the work
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VP of Compliance Location: California
Summary: The VP of Compliance has primary responsibility for Pacific Pulmonary Services compliance with federal, state and local laws, rules and regulations. The position manages assigned compliance staff; chairs the Compliance Committee; and is responsible
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