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3,274  Regulatory Compliance Officer Jobs

Senior Software Engineer - Bloomberg Vault User Experience

Bloomberg L.P. New York, NY

The system provides the tools for real-time compliance checking, policy management, supervision, ingestion, indexing, searching and reporting. These… Bloomberg L.P.

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Regulatory Inquiries Compliance Officer

The Compliance Search Group New York, NY

include: • Research, analyze and respond to regulatory inquiries from SEC, CFTC, SROs relating to potential statutory and SRO/Exchange rule… TheLadders.com

  • Overview

Global Regulatory Advisory - Compliance Officer - Finance and Investment Industr

Bank/Broker Dealer New York, NY

This individual will be a Compliance Officer in the newly created Global Regulatory Advisory Group in Compliance. Due to the ongoing pace of… VelvetJobs.com

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Global Regulatory Advisory - Compliance Officer

Green Key Resources 17 Reviews New York, NY

This individual will be a Compliance Officer in the newly created Global Regulatory Advisory Group in Compliance. Due to the ongoing pace of… Glassdoor

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Senior Compliance Officer - Regulatory & Policy

Citibank 100+ Reviews Jersey City, NJ

role, the Senior Compliance Officer/Regulatory Compliance works with a team… Glassdoor

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Regulatory Exams Compliance Officer - Finance and Investment Industry Opportunit

Morgan Stanley 100+ Reviews New York, NY

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity… VelvetJobs.com

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Regulatory Compliance Officer

Ascendo Resources, LLC Miami, FL

will be: Review, enhancement and maintenance of WSP adhering to industry rules and regulations. Accountable for Internal and External Audits… Glassdoor

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Compliance Officer Regulatory Examinations & Inquiry

TIAA-CREF 100+ Reviews Charlotte, NC

related to the coordination, communication, documentation and negotiation processes supporting regulatory examinations and inquiries. One of the key… Beyond.com

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Assistant Vice President Compliance Risk Assessment Officer, Regulatory Complian

HSBC 16 Reviews New York, NY

* The HSBC North America Holdings (HNAH) Compliance function maintains the Compliance Detailed Self-Assessment (CDSA) program to identify, measure… Beyond.com

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Bank Regulatory Compliance Officer

RBC Dexia 52 Reviews New York, NY

• Develop, implement and maintain effective compliance programs and policies in conformance with applicable laws… Glassdoor

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Compliance Officer- Sanctions Regulatory

Citibank 100+ Reviews Long Island City, NY

• Conduct investigations and analysis in support of OFAC subpoenas and related inquiries and voluntary disclosures to OFAC , including remediation… Glassdoor

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Regulatory Compliance Officer - AML Governance

Fulton Financial 14 Reviews Lancaster, PA

include the oversight and execution of comprehensive risk assessments, quality assurance monitoring and reporting, and representation on bank wide… Glassdoor

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AVP Senior Regulatory Compliance Officer

HSBC 16 Reviews New York, NY

* AVP Manager Regulatory Compliance Officers, within the Change Management function, are aligned… Beyond.com

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Assistant Vice President Compliance Risk Assessment Officer, Regulatory Complian

HSBC Holdings 100+ Reviews New York, NY

The HSBC North America Holdings (HNAH) Compliance function maintains the Compliance Detailed Self-Assessment (CDSA) program to identify, measure, and… Glassdoor

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Senior Compliance Officer- Sanctions Regulatory

Citibank 100+ Reviews Long Island City, NY

• Conduct investigations and analysis in support of OFAC subpoenas and related inquiries and voluntary disclosures to OFAC, including remediation… Glassdoor

  • Overview
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Regulatory Trade Reporting Compliance Officer

Morgan Stanley 100+ Reviews New York, NY

The Global Compliance Department manages a Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines… Glassdoor

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Regulatory Exams Compliance Officer

Morgan Stanley 100+ Reviews New York, NY

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity… Glassdoor

  • Overview
  • Reviews
  • Salaries

Regulatory Inquiries Compliance Officer - Finance and Investment Industry Opport

Financial Services Firm 1 Review New York, NY

The Regulatory Inquiries Compliance Officer will: Research, analyze and respond to regulatory… VelvetJobs.com

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