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Senior Compliance Officer jobs

Viewing 1 - 10 of 398 jobs

  • Specialist, Ethics & Compliance

    Aerojet Rocketdyne - Sacramento, CA

    The Ethics and Compliance Specialist applies expertise to directly contribute to and administer ethics and compliance ... disclosures. 15% - Supports Ethics and Compliance senior and Executive management and functional COEs (HR,...

    5 days ago from Aerojet Rocketdyne

  • Mortgage Compliance Officer II

    Fifth Third Bank - Kentucky

    with operational units. Assists Line of Business Compliance implement effective compliance program; provides ... of compliance in various areas of the organization to senior management. Serves on various task forces or...

    16 days ago from Fifth Third Bank

  • Senior Trading Compliance Officer

    Access Staffing - New York City, NY

    and investment banking firm seeks candidates to join their Compliance Department. Responsibilities will include: ... years compliance experience, including equities trading compliance Exposure to monitoring OTC securities (pink sheets...

    29 days ago from TheLadders.com

  • Chief Compliance Officer, Broker Dealer

    Chicago, IL

    The Chief Compliance Officer, Broker-Dealers, US PCG Compliance, oversees the US broker-dealer compliance risk ... compliance risk appetite.ยท Provide input to the Chief Compliance Officer, U.S. PCG Compliance on strategies for...

    30+ days ago from IvyExec

  • Senior Compliance Officer

    RS Investments - San Francisco, CA

    the Compliance ManualPeriodically provide senior management personal trading reportsKnowledge of ... closely with the Chief Compliance Officer, with members of Compliance, Legal, HR, Management and product teamsKey...

    30+ days ago from Doostang

  • Senior Trading Compliance Officer

    Lang Search Partners - New York City, NY

    This individual will act as the Senior Trading Compliance Officer for a global, independent, institutional brokerage and ... directly to this individual, who will report to the Chief Compliance Officer. Qualifications: BA or BS degreerequired...

    30+ days ago from TheLadders.com

  • Senior Vice President - Trust Compliance Director

    New York City, NY

    inquiries. -Create and assist in the execution of internal compliance function testing and remediation. -Coordinate ... -Coordinate compliance with KYC/AML/BSA policies and procedures, act as designated AML compliance officer and conduct al...

    2 days ago from IvyExec

  • Alternative Investments- Compliance Officer

    Compliance Search - Los Angeles, CA

    senior advisors to ensure activities are captured by the compliance program, as applicable; and Administering the LRN ... well regarded alternative investments firm that is based in downtown Los Angeles, is seeking a Senior Compliance...

    30+ days ago from Doostang

  • Anti - Money Laundering Compliance Officer / Sanctions Spec

    Compliance Search Groupfinancial Services - Los Angeles, CA

    Anti-Money Laundering Compliance Officer/Sanctions Specialist A top global bank seeks a Senior AML Compliance Officer ... hundreds of Compliance professionals ranging from staff levels to Chief Compliance Officers with the nation's...

    8 days ago from TheLadders.com

  • Compliance Officer- Municipal- VP

    Compliance Search Group - New York City, NY

    Compliance Officer- Municipal- VP A Global Investment Bank seeks a Vice President level Compliance Officer who will ... of Compliance professionals ranging from staff levels to Chief Compliance Officers with the nation's top-tier firms.

    1 day ago from TheLadders.com

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