- TD Bank (New York, NY)
- …variety of audiences (including senior management), coordination with other Compliance workstreams to integrate Issues Management intro their respective ... to handle multiple assignments at the same time. The Senior Compliance Office provides advice, guidance and...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- NatWest Markets (Stamford, CT)
- Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer Stamford,United States Permanent Full Time \#R-00244248 Our people work differently ... and the business._ Senior Monitoring and Testing Compliance Assurance Officer reportingto the US General...Officer will alsobe responsible forreporting and escalating controls issues and any violations of laws or breaches of… more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** **Preferred Qualifications:** The Senior Compliance Officer TDS - Compliance within ... + Proficient in Word, Excel (VLookups) and PowerPoint The Senior Compliance Office provides advice, guidance and...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- Wells Fargo (West Des Moines, IA)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer for the Regulatory Change Management team as part of Corporate Risk ... career areas and lines of business at wellsfargojobs.com (https://www.wellsfargojobs.com/career-areas/) . The Senior Lead Compliance Officer will drive the… more
- Wells Fargo (New York, NY)
- **About this role:** **Wells Fargo is seeking a Senior Lead Compliance Officer in Corporate and Investment Banking (CIB) Compliance to support the ... Compliance Program on the Cross Asset Team. The Senior Lead Compliance Officer will...independently challenge the reporting, escalation, and timely remediation of issues , deficiencies or regulatory matters regarding compliance … more
- Bloomberg (New York, NY)
- Senior Compliance Officer - Management...You will help track and follow up on the Compliance issues identified for our Boards and executives. ... and highlight areas of focus for our stakeholders (including our Chief Compliance Officer and Executive Management). The successful candidate will develop… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to manage its Securities-Based Swap Dealer compliance program, within the ... business groups, legal entities, geographies, and jurisdictions; and ensure that escalated compliance issues receive immediate senior management attention.… more
- City National Bank (Los Angeles, CA)
- * COMPLIANCE OFFICER SENIOR * WHAT IS THE OPPORTUNITY? The Senior Compliance Officer within the Fair and Responsible Banking Department is ... responsible for managing and maintaining assigned areas of the compliance program covering Fair and Responsible Banking including monitoring business area … more
- City National Bank (Charlotte, NC)
- * COMPLIANCE OFFICER SENIOR * WHAT IS THE OPPORTUNITY? The Senior Consumer Compliance Officer is responsible for managing and maintaining assigned ... areas of the compliance program covering consumer including monitoring business area ...complex situations and provide guidance, make recommendations, and/or escalate issues to appropriate levels of management. * Ability to… more
- Navy Federal Credit Union (Vienna, VA)
- …assigned to support one or more processes based on knowledge and experience. The Senior Compliance Officer is a professional with 7-10 years' experience ... regulations and other third-party activities to make recommendations to senior management on complex positions and courses of action...and ensure compliance + Thorough knowledge of compliance issues , laws and regulations relating to… more