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171 internal control regulatory and compliance officer jobs

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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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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Compliance Officer Needed Urgent

Price Personnel Ltd London, England

• To become aware of all individual contractual compliance requirements and to assist in implementing procedures to account for these • Escalate… Reed.co.uk

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Assistant Compliance Officer- £30-40k

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

Leading Financial Services Firm Dublin, NA

My client is searching for a Compliance Officer to join its growing business. Reporting to the Head of Compliance, the position will see you provide… Ivy Exec

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Regulatory Risk Testing Officer

Popular Community Bank 31 Reviews New York, NY

This position is responsible for performing compliance reviews of policies, procedures, and internal controls developed for ensuring compliance with… Popular Community Bank

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Senior Compliance Officer - Advisory

Newedge 100+ Reviews London, NA

are detailed below:Provision of proactive regulatory advice to Senior Management, Legal, Business Lines and Control Functions relating to… Ivy Exec

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Regulatory Compliance Testing Officer

HSBC Canada 100+ Reviews Jersey City, NJ

Performs periodic testing reviews of the compliance control framework as directed by Compliance Testing & Control (CTAC) management. Assures… Glassdoor

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Compliance Monitoring Officer

BrightHouse 100+ Reviews Watford, Hertfordshire

The role will be responsible for carrying out risk-based monitoring reviews, both routine and themed, to assess the extent to which line management… Jobg8

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Control & Compliance Officer

UKStaffsearch Hook, South East England, England

will be to:Monitor compliance regulations and update internal policiesContribute to the development and maintenance of the compliance monitoring… Glassdoor

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CHIEF FINANCIAL OFFICER - CORPORATE COMPLIANCE OFFICER – new

Pulaski Memorial Hospital Winamac, IN

Job requirements: Bachelors Degree in business administration, finance or economics required, Masters Degree and CPA preferred. 5 years hospital… TheJobNetwork

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Assistant Compliance Officer- £30-40k, St

Alexander Lloyd - Compliance & Financial Services 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… TotalJobs.co.uk

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O&T - SR Risk Control Officer – new

Singapore

] - Manage internal, external, regulatory and other audits end-to-end, providing proper perspective on risks and issues. - Independently assess the… RegionUP

EXECUTIVE DIRECTOR, COMPLIANCE

CalOptima 10 Reviews Orange, CA

The Executive Director of Compliance is responsible for all internal compliance and auditing activities including conducting regular internal audits… CareerBuilder

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Surveillance Officer

Majestic Star Casino 4 Reviews Gary, IN

Essential Functions: The Surveillance Officer is responsible for observing, monitoring and recording all activity occurring in the casino area and… Majestic Star Casino

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Electronic Communications Compliance Officer Monitoring, Surveillance - Finance

UBS 100+ Reviews London, England

• Conduct and document monitoring reviews to assess compliance with and adherence to regulations and internal e-communication policies. Follow… VelvetJobs.com

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Chief Financial Officer CFO

Allegheny Bradford Corporation 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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