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2,508 regulatory officer jobs

Director, Compliance Monitoring & Testing – easy apply

First Republic (CA) San Francisco, CA

The Director, Compliance Monitoring & Testing position reports to the Bank Chief Compliance Officer (CCO). We are looking for a Director, Compliance… First Republic (CA)

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Senior Compliance Officer - Regulatory

Citi Buffalo, NY

• Graduate degree preferred; bachelors' degree required • 5+ years management/supervisory experience • 2+ years in a registration/licensing… Citi

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Attorney Jobs-JDHUNTR-12876 Compliance Officer, Compliance/Regulatory

In-House Counsel Jobs | JDHUNTR Malvern, PA

and serves as member of the Corporate Compliance Leadership Team. In-House Counsel Jobs, JDHUNTR, in-house jobs, law jobs, legal jobs, law careers… Glassdoor

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Chief Regulatory Officer/ Chief Compliance Officer

Waddell and Reed 100+ Reviews Overland Park, KS

The Chief Regulatory Officer (CRO) / Chief Compliance Officer (CCO) is primarily responsible for directing the… Glassdoor

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Chief Regulatory Officer/ Chief Compliance Officer

Ivy Funds 1 Review Overland Park, KS

The Chief Regulatory Officer (CRO) / Chief Compliance Officer (COO) is primarily responsible for directing the… Glassdoor

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Compliance Officer Regulatory (Buffalo N.Y.)

Citi 100+ Reviews Buffalo, NY

include: filing branch office registrations; initial filing, maintenance, and termination of individuals' registrations/licenses; filing regulatory… Glassdoor

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Compliance Officer - Markets Regulatory Implementation - Finance and Investment

Citigroup 100+ Reviews New York, NY

The Institutional Clients Group is seeking a candidate who will report to the Compliance Director, Markets Regulatory Implementation. This position… VelvetJobs.com

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Regulatory Compliance Officer

Ohio State University Medical Center 86 Reviews Columbus, OH

Regulatory Compliance Officer (Job Opening 382755) - Regulatory Compliance… Glassdoor

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Senior Compliance Officer- Regulatory Projects & Risk Assesments - Finance and I

Citigroup 100+ Reviews Jersey City, NJ

As a member of the Institutional Client Group Compliance Strategy and Planning team, this Senior Compliance Officer will lead highly-visible ICG… VelvetJobs.com

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Senior Compliance Officer Regulatory (Buffalo N.Y.)

Citi 100+ Reviews Buffalo, NY

include: • filing branch office registrations; initial filing, maintenance, and termination of individuals' registrations/licenses; • filing… Glassdoor

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SVP, Advisory Compliance

LPL Financial 100+ Reviews Charlotte, NC

• Effectively implements and periodically reviews the oversight of the Advisory Compliance program for all advisory businesses at LPL, including… LPL Financial

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Senior Compliance Officer - Regulatory (Buffalo, N.Y.) - Finance and Investment

Citigroup 100+ Reviews Buffalo, NY

include: • filing branch office registrations; initial filing, maintenance, and termination of individuals' registrations/licenses; • filing… VelvetJobs.com

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Compliance Officer - Regulatory (Buffalo, N.Y.) - Finance and Investment Industr

Citigroup 100+ Reviews Buffalo, NY

include: filing branch office registrations; initial filing, maintenance, and termination of individuals' registrations/licenses; filing regulatory… VelvetJobs.com

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Assistant 2 (Compliance Department)

Primerica 100+ Reviews Duluth, GA

The Assistant 2 prioritizes and responds to varied requests from members of the Securities Compliance department, including the Chief Compliance… Primerica

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Compliance Officer (Consumer Lending)

Encore Capital Group 58 Reviews San Diego, CA

include: Policies & Procedures: Develop, manage and maintain corporate compliance policies and procedures to ensure the Company abides by the… Encore Capital Group

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Legal and Compliance Officer

International Technological University 6 Reviews San Jose, CA

The Legal and Compliance Officer functions as an independent and objective body that reviews and evaluates compliance issues/concerns within the… International Technological University

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Privacy Specialist – new

Providence Health & Services 100+ Reviews Renton, WA

• Provide support to Providence as a subject matter expert by maintaining current knowledge of HIPAA/HITECH Privacy Rule Standards and other privacy… Providence Health & Services

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Regulatory Compliance Officer

Starpoint Solutions 28 Reviews Boston, MA

The Compliance Officers responsibilities include: • Supporting multiple core complia… PostJobFree

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Asset & Wealth Management Regulatory Compliance Officer

The Compliance Search Group New York, NY

The Compliance Officer is to provide advisory Compliance support relating to Active and Passive portfolio management business lines. The successful… TheLadders.com

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