Internal Control, Regulatory and Compliance Officer Jobs | Glassdoor

Internal Control, Regulatory and Compliance Officer Jobs

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  • 2.7
    Investment Professionals – San Antonio, TX
    Est. Salary $74k-$130k
    5 days ago 5d
    and Procedures based upon regulatory requirements, industry practices and established internal controls, including AML, CIP, BCP… protection. 10 years relevant experience in compliance, legal and/or regulatory matters in the retail broker-dealer, investment…
  • 3.9
    Bank of Hawaii – Honolulu, HI
    Est. Salary $47k-$86k
    5 days ago 5d
    examinations from state and federal regulatory examiners, Fund Compliance Officers, and Internal Auditors, including advance preparation… day in your life as a Compliance Officer Under the direction of the Fiduciary and Investment, Compliance and Risk Management (…
  • Lifeline Connections – Vancouver, WA
    EASY APPLY
    Est. Salary $39k-$56k
    2 days ago 2d
    and reporting; • Perform duties of Privacy Officer, and Corporate Compliance Officer; • Other duties as assigned. POSITION… services conform to contract requirements and meet compliance with regulatory agencies. In fulfilling these duties, the incumbent…
  • 3.6
    First Republic Bank – San Francisco, CA
    1 days ago 22hr
    increase knowledge of regulatory requirements that impact the organization, as well as in the areas of internal control, accounting, business… execution of Compliance Internal Audits, along with other Audit Senior responsibilities as assigned Provide control consultation…
  • 3.3
    Texas Dow Employees Credit Union – Sugar Land, TX
    Est. Salary $55k-$78k
    12 days ago 12d
    interpret complex regulatory compliance and policies and laws. Essential: Knowledge of and skill in applying internal auditing and… Kleinecke, Senior Vice President and Chief Financial Officer POSITION TITLE: Internal Auditor LOCATION: This position is based…
  • 3.9
    Bank of Hawaii – United States
    9 days ago 9d
    associations and community organizations. Ensures compliance with internal controls, operational procedures and risk management policies… appropriate, assists in business unit’s compliance with applicable laws, regulations, regulatory requirements and Bank policies and…
  • 3.3
    YapStone – Walnut Creek, CA
    Est. Salary $49k-$72k
    16 days ago 16d
    the Chief Compliance Officer/VP Compliance. The successful candidate will also assist with certain other compliance activities… trends and internal business patterns to be used for potential control or rule enhancements to company compliance program. Evaluate…
  • 2.7
    Cardworks – West Jordan, UT
    Est. Salary $34k-$56k
    5 days ago 5d
    changes in the regulatory environment. Other duties as assigned by the Chief Compliance Officer and/or Senior Compliance… As directed by the Senior Compliance Manager or Chief Compliance Officer: Assess, in writing, the…
  • 3.9
    Alliant Credit Union – Rolling Meadows, IL
    Est. Salary $149k-$259k
    9 days ago 9d
    Career with Alliant: The Vice President, Compliance and Chief Compliance Officer is a seasoned and business planning professional… management of regulatory compliance examinations of the CFPB. Maintains a high level of regulatory compliance and operations…
  • 3.9
    Bank of Hawaii – Honolulu, HI
    Est. Salary $51k-$90k
    16 days ago 16d
    day-to-day regulatory compliance programs for collections and recovery units. The Officer develops and maintains compliance policies… compliant and have adequate internal controls to mitigate operational and compliance risk by providing compliance-related guidance for…
  • 3.6
    EMPLOYERS – Reno, NV
    Est. Salary $90k-$139k
    4 days ago 4d
    improve risk posture, and ensure compliance with various privacy and/or regulatory compliance requirements. The role will be responsible… improvements. Ensures that IT Security controls meet the requirements of all regulatory requirements or contractual requirements…
  • 3.3
    Texas Dow Employees Credit Union – Sugar Land, TX
    Est. Salary $40k-$55k
    22 days ago 22d
    RFP/Q/I’s to key stakeholders. Compliance & Internal Controls: Ensures proper controls are in place to secure TDECU assets… monitoring internal controls, performing financial spend analysis, and communicating value of procurement to internal stakeholders…
  • 3.3
    Edelman Financial Services – Fairfax, VA
    Est. Salary $121k-$213k
    19 days ago 19d
    of compliance procedures. Develop and lead employee training sessions on internal compliance policies and regulatory compliance… seeking an experiencedChief Compliance Officer (CCO) for our HQ in Fairfax, VA. The Chief Compliance Officer is responsible for the…
  • 3.6
    NewDay USA – Fulton, MD
    EASY APPLY
    Est. Salary $45k-$80k
    22 days ago 22d
    of an effective mortgage lending regulatory risk framework that includes an internal control structure, training, monitoring,… The position of Senior Compliance Officer is a new position within NewDay USAs Compliance Team and will report directly to…
  • 3.6
    First Republic Bank – San Francisco, CA
    Est. Salary $111k-$164k
    27 days ago 27d
    conducting and managing Compliance audits and providing control consultation on regulatory compliance risks and controls throughout the… experience in banking / financial services regulatory compliance. Ability to act as a compliance process and management consultant to…
  • 3.6
    First Republic Bank – San Francisco, CA
    Est. Salary $111k-$183k
    26 days ago 26d
    manage an Internal Audit Continuous Monitoring program, ensuring strict compliance with IIA Standards and regulatory expectations… 2 Lead and manage an Internal Audit Quality and Assurance program ensuring strict compliance with IIA Standards and procedures…
  • 2.3
    Academy Bank, N.A. – Kansas City, MO
    17 days ago 17d
    customer satisfaction, security and resiliency, and regulatory compliance. Principal Accountabilities: • Sets the mission and… assessment of external digital opportunities and threats, and internal technology capabilities required to achieve desired competitive…
  • 2.9
    Denny's Corporation – Orlando, FL
    Est. Salary $30k-$46k
    22 days ago 22d
    Director and Chief Food Safety Officer, Vice President of Brand Protection, Quality & Regulatory Compliance on any and all adverse issues… restaurant execution. Internal focus includes, but not limited to cash handling theft, inventory control, facilities and equipment…
  • 3.9
    Robert W. Baird & Co. – Milwaukee, WI
    Est. Salary $45k-$68k
    8 days ago 8d
    The Compliance Analyst/Officer will be primarily responsible for the day to day operations of the Capital Markets Control Room… Baird Position Title: Compliance Analyst/Officer Department Compliance Req Type Exempt Location WI - Milwaukee Job…
  • 3.5
    The University of Texas Medical Branch – Galveston, TX
    Est. Salary $52k-$88k
    11 days ago 11d
    identifies appropriate internal controls for department, provides mechanisms to monitor and ensure compliance. Educator/Research… Participation, and other regulatory and accreditation agencies standards as applicable. Audits compliance against regulatory standards for…
  • 3.3
    Masimo – Irvine, CA
    Est. Salary $145k-$227k
    9 days ago 9d
    appropriate regulatory controls (site and patient) in place for studies Manage clinical trial agreements and internal and external… Support the Chief Science Officer to initiate and co-develop clinical study concepts with internal and external customers Identify…
  • 3.3
    Texas Dow Employees Credit Union – Sugar Land, TX
    9 days ago 9d
    Works effectively with the Team Lead to ensure regulatory and audit compliance as well as advocating procedure improvements when… time frames and other compliance assignments including Office of Foreign Assets Control (OFAC), Unusual Activity Reports (UAR),…
  • 3.9
    Bank of Hawaii – Honolulu, HI
    22 days ago 22d
    associations and community organizations. Ensures compliance with internal controls, operational procedures and risk management policies… appropriate, assists in business unit’s compliance with applicable laws, regulations, regulatory requirements and Bank policies and…
  • 4.3
    Westwood Holdings Group – Dallas, TX
    Est. Salary $79k-$138k
    1 days ago 24hr
    employees are complying with regulatory requirements and internal policies and procedures. The Chief Compliance Office is part of the… a Chief Compliance Officer in our Dallas. TX location who will be responsible for overseeing and managing compliance within the…
  • 3.4
    Dignity Health – Stockton, CA
    7 days ago 7d
    Safety Officer and Regulatory Readinessis a clinical professional responsible for the patient safety programs and regulatory readiness… "s Medical Center. TheManager of Patient Safety Officer and Regulatory Readiness directs programs involving initiatives related…
  • 3.3
    Texas Dow Employees Credit Union – Rosenberg, TX
    23 days ago 23d
    originates, and negotiates real estate loans to stay in compliance with regulatory and TDECU lending policies. Keeps informed of any… reporting on a daily basis to ensure accuracy and compliance with regulatory guidelines Verifies and audits real estate loans applications…
  • 2.7
    Cardworks – West Jordan, UT
    Est. Salary $32k-$49k
    8 days ago 8d
    by the Chief Compliance Officer: Develop comprehensive testing plans for compliance related controls throughout the… testing, regulatory changes, changes to internal processes, or audit/examination findings. Identify control weaknesses…
  • 3.3
    FreshDirect – Long Island City, NY
    26 days ago 26d
    ownership options. Internal Control: Assess the effectiveness of the company’s processes and internal control structure and develop… ownership options. Internal Control: Assess the effectiveness of the company’s processes and internal control structure and develop…
  • 2.5
    Microbac Laboratories, Inc. – Merrillville, IN
    Est. Salary $46k-$67k
    4 days ago 4d
    accredited commercial laboratory, ensuring compliance with all relevant regulatory standards. ESSENTIAL FUNCTIONS:… laboratory including but not limited to document control, CAPA, internal audits, control charts & trend analysis, approved suppliers…
  • 2.5
    Microbac Laboratories, Inc. – Dayville, CT
    Est. Salary $67k-$97k
    19 days ago 19d
    ensure full compliance with quality, regulatory and customer requirements and expectations. Assists the Quality Officer with internal… Ensures the assigned areas are fully compliant with all regulatory, accreditation and certification requirements. KEY…
  • 4.3
    Green Key Resources – New York, NY
    Est. Salary $55k-$100k
    6 days ago 6d
    Description Measure regulatory/compliance controls related to areas of exposure Advance Compliance policies and procedures… required 5+ years of compliance or regulatory experience within a federal regulator, self-regulatory organization, or in a trading…
Job Title Location Employer Salary
Chief Compliance Officer San Antonio, TX Investment Professionals $74k-$130k
Compliance Officer - Trust Services Group Honolulu, HI Bank of Hawaii $47k-$86k
Quality Assurance Coordinator - Posting #16 Vancouver, WA Lifeline Connections $39k-$56k
Senior Auditor – Compliance San Francisco, CA First Republic Bank $66k-$103k
Internal Auditor Sugar Land, TX Texas Dow Employees Credit Union $55k-$78k
Compliance Analyst II Walnut Creek, CA YapStone $49k-$72k
Compliance --Vendor Management Specialist West Jordan, UT Cardworks $34k-$56k
Vice President, Compliance & Chief Compliance Officer Rolling Meadows, IL Alliant Credit Union $149k-$259k
Consumer Collections & Recovery Compliance Officer Honolulu, HI Bank of Hawaii $51k-$90k
IT - Information Security Architect Reno, NV EMPLOYERS $90k-$139k
Accounts Payable & Procrurement Coordinator 2 Sugar Land, TX Texas Dow Employees Credit Union $40k-$55k
Chief Compliance Officer Fairfax, VA Edelman Financial Services $121k-$213k
Senior Compliance Officer Fulton, MD NewDay USA $45k-$80k
Compliance Senior Manager San Francisco, CA First Republic Bank $111k-$164k
Vice President, Internal Audit - Professional Practice San Francisco, CA First Republic Bank $111k-$183k
Chief Information Officer Kansas City, MO Academy Bank, N.A. $91k-$176k
Sr. Mgr. Assets Protection & Safety Orlando, FL Denny's Corporation $30k-$46k
Compliance Analyst/Officer Milwaukee, WI Robert W. Baird & Co. $45k-$68k
Director, Professional Excellence - Nursing Service Administration (oversees Magnet Program) Galveston, TX The University of Texas Medical Branch $52k-$88k
Vice President, Clinical Development Irvine, CA Masimo $145k-$227k
Member Care Specialist Sugar Land, TX Texas Dow Employees Credit Union $38k-$59k
Personal Banking Officer Honolulu, HI Bank of Hawaii $52k-$83k
Chief Compliance Officer Dallas, TX Westwood Holdings Group $79k-$138k
Manager, Patient Safety Officer & Regulatory Readiness Stockton, CA Dignity Health $31k-$48k
Mortgage Loan Officer/ Home Loan Champion- Rosenburg Rosenberg, TX Texas Dow Employees Credit Union $32k-$77k
Compliance Risk Analyst West Jordan, UT Cardworks $32k-$49k
VP Financial Controller Long Island City, NY FreshDirect $165k-$278k
Laboratory Quality Systems Manager Merrillville, IN Microbac Laboratories, Inc. $46k-$67k
ICP Metals Group Leader/Supervisor Dayville, CT Microbac Laboratories, Inc. $67k-$97k
Compliance Officer New York, NY Green Key Resources $55k-$100k
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