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166 Internal Control, Regulatory and Compliance Officer Jobs

Chief AML Compliance Officer

Scottrade 100+ Reviews Saint Louis, MO

• Administer the enterprise BSA/AML/OFAC compliance programs. • Oversee that all areas/departments of Scottrade Financial and its subsidiaries… Scottrade

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Regulatory Risk Testing Officer

Popular Community Bank 27 Reviews New York, NY

• Analyze banking regulations and prepare practical review steps to test compliance with said regulations within the banks operations in an effective… Popular Community Bank

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Compliance Officer

Permanent Solutions Direct Ltd West Worthing, England

also include; the development and implementation of processes and controls to ensure compliance and leading the business through the assessment of… Reed.co.uk

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Assistant Compliance Officer

Alexander Lloyd Saint Albans, England

Reporting to the Compliance and Risk Manager/Head of Compliance, you will provide compliance assistance to support and contribute to the provision of… Reed.co.uk

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Compliance Officer

Hays 100+ Reviews London, England

Another key responsibility will be the provision of compliance support to the fund's authorised compliance director based out in Luxembourg and… TotalJobs.co.uk

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VP-Risk & Control

Broadridge Financial Solutions, Inc. 100+ Reviews New Jersey

The Vice President – Risk & Control - Process Management manages and develops a comprehensive process for risk management and risk mitigation… Broadridge Financial Solutions, Inc.

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Regulatory and Compliance Officer

Leading Financial Services Firm Melbourne, NA

Working for a growing Trustee which offers a broad range of products including portfolio management, managed funds, superannuation, aged care… Ivy Exec

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Compliance Officer - CF10a - CASS - Manchester- £45K – new

Robert Walters 64 Reviews Manchester, England

within the Control Functions, Statements of Principle and General Principles of Approved Persons * CASS Apportionment & Oversight (CF10A) Knowledge… TotalJobs.co.uk

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Senior Compliance Officer

Pimco 89 Reviews Newport Beach, CA

include, but are not limited to: perform various regulatory compliance monitoring functions involving Firm policies and procedures, federal and state securiti… Ivy Exec

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Compliance Officer – new

Municipal Employees Credit Union of Baltimore Baltimore, MD

Ensure that the company complies with its outside regulatory requirements and internal policies. Duties: The Compliance Officer collaborates with… Glassdoor

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Compliance Officer – new

OCBC Bank 100+ Reviews United Kingdom

Be the business unit’s primary point of contact with auditors (both internal and external) Be the business unit's primary point of contact with… Glassdoor

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Compliance Officer ICG Testing

Citi 100+ Reviews Jersey City, NJ

Compliance Testing (CT) is responsible for the execution of reviews of the Institutional Client Group (ICG), Citi Personal Wealth Management (CPWM… Citi

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Retail Banking Compliance Officer

Holmes Search London, England

The Regulatory Advisory team offers you the opportunity to work with the most prominent firms in the Investment Banking, Retail Banking, Investment… eFinancialCareers

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Chief Financial Officer CFO

Allegheny Bradford Corporation 2 Reviews Lewis Run, PA

• Coordinate the preparation of financial statements, financial reports, special analyses, and information reports • Ensure that effective… TheLadders.com

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Conflict and NDA Compliance Officer - Finance and Investment Industry Opportunit

SunTrust 100+ Reviews Atlanta, GA

Plans, executes and manages projects to evaluate regulatory compliance in assigned areas. Monitors and reviews policies, standards and procedures and… VelvetJobs.com

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Wealth and Investment Management Compliance

The Compliance Search Group New York, NY

• Perform comprehensive analysis of sales practice, suitability and product (e.g. listed options, mutual funds, ETFs, structured products… TheLadders.com

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