- Chief Compliance Officer
- Institutional Investment Manager (Boston, MA)
- ...The Chief Compliance Officer ensures that the firm remains in compliance with all applicable laws, rules and regulations governing operations and products. This position works closely with the Chief Operating Officer, General Counsel, Compliance Manager, and Audit Committee of the Board of...
- Regulatory Compliance Officer
- Financial Services Company (New York, NY)
- ...: Oversee and assist in preparing and performing periodic testing of transaction and/or procedures to assess the effectiveness of the banks overall Compliance Program (Monitoring program). Oversee the documenting of findings and recommendations made to correct deficiencies found. Maintain a...
- Risk Manager/Corporate Compliance Officer
- Lutheran Senior Services (St. Louis, MO)
- ...JOB TITLE: Risk Manager/Corporate Compliance Officer/Corporate Counsel. DEPARTMENT: Home Office REPORTS TO: Primary report is to the Chief Operating Officer, also reports to the President regarding corporate legal issues and compensable events. PURPOSE: The primary purpose of this dual role...
- Compliance Officer - ERISA
- TIAA-CREF (Charlotte, NC)
- ...Develop a compliance program that focuses on the firm's pension products (ERISA and non-ERISA) Assist in the evaluation, development and implementation of sales practices, market conduct and compliance procedures and recommend revisions to such procedures when necessary. Identify compliance...
- Sr. Compliance Officer - Legal Compliance Liaison
- JPMorgan Chase (Columbus, OH)
- ...include: . Works with the Executive Resolution Group analysts to ensure appropriate and adequate response to escalated customer complaints. The Liaison meets regularly with other Executive Resolution Group team members. . Reviews responses to escalated complaints for substantive issues and...
- Compliance Officer II - Consumer Regulatory Compliance Quality Control
- Union Bank (Orange, CA)
- ...Independently monitor compliance in the assigned compliance focus area(s), and communicate this information to line compliance personnel. Develop and produce regular reports for line and executive management. Significant effect at division or group level, and has a moderate to significant...
- Regulatory Compliance Officer
- For Profit Educator (Fort Lauderdale, FL)
- ...The Company has eight campuses that are typically facilities of 20,000 to 50,000 square feet of classroom and lab space with a student enrollment at peak utilization of nearly 600 with a staffs of 30 to 50 employees. The Company provides educational programs and testing services in the...
- Regulatory Compliance Officer
- Financial Services Company (New York, NY)
- ...: Oversee and assist in preparing and performing periodic testing of transaction and/or procedures to assess the effectiveness of the banks overall Compliance Program (Monitoring program). Oversee the documenting of findings and recommendations made to correct deficiencies found. Maintain a...
- Chief Compliance Officer
- Institutional Investment Manager (Boston, MA)
- ...& The Chief Compliance Officer ensures that the firm remains in compliance with all applicable laws, rules and regulations governing operations and products. This position works closely with the Chief Operating Officer, General Counsel, Compliance Manager, and Audit Committee of the...
- Chief Compliance Officer
- Institutional Investment Manager (Boston, MA)
- ...The Chief Compliance Officer ensures that the firm remains in compliance with all applicable laws, rules and regulations governing operations and products. This position works closely with the Chief Operating Officer, General Counsel, Compliance Manager, and Audit Committee of the Board of...
- Bank Regulatory Compliance Officer
- Large International Financial Services Firm (New York, NY)
- ...: Oversee and assist in preparing and performing periodic testing of transaction and/or procedures to assess the effectiveness of the banks overall Compliance Program (Monitoring program). Oversee the documenting of findings and recommendations made to correct deficiencies found. Maintain a...
- Corporate Compliance Officer
- VIP Community Services (Bronx, NY)
- ...VIP Community Services, a progressive behavioral health and community service organization seeks a dynamic, results-oriented, and experienced individual to fill the position of Corporate Compliance Officer. Join us in our efforts to change lives. Under the direction of the President, this...
- Bank Regulatory Compliance Officer
- Large International Financial Services Firm (New York, NY)
- ...: Oversee and assist in preparing and performing periodic testing of transaction and/or procedures to assess the effectiveness of the banks overall Compliance Program (Monitoring program). Oversee the documenting of findings and recommendations made to correct deficiencies found. Maintain a...
- Bank Regulatory Compliance Officer
- Top Tier Investment Bank (New York, NY)
- ...Main Duties Assisting in the management of bank examinations and regulatory inquiry coordination Develop and manage various tracking to manage and report on bank examinations and inquiries To track and monitor bank regulatory and legislative developments and prepare briefing memos To assist...