Internal Control, Regulatory and Compliance Officer Jobs | Glassdoor
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Internal Control, Regulatory and Compliance Officer Jobs

885 Jobs

  • 3.1
    BNY Mellon – Pittsburgh, PA
    $37k-$55k(Glassdoor est.)
    5 days ago 5d
    procedures to meet these requirements. Validates control processes to ensure compliance with laws, rules and regulations. Partners with… management businesses, as they relate to complex regulatory and policy requirements, program and project development. Analyzes…
  • 3.7
    Mercari – San Francisco, CA
    NEW
    The Compliance Investigations Officer (AML/BSA) Officer is responsible for working with the Chief ComplianceOfficer coordinating… corrective action of all related compliance deficiencies or violations. Assist ComplianceOfficer with updates and revisions to…
  • 3.6
    Citi – Washington, DC
    $124k-$190k(Glassdoor est.)
    HOT
    reporting to the Chief Sanctions Officer. Job Purpose: The Head of Citis OFAC RegulatoryCompliance function is a direct report… Sanctions Compliance Teams, AML Compliance Risk Management, and Sanctions Legal to evaluate sanctions risks and controls; Lead…
  • 3.0
    Computershare – United States
    NEW
    , reporting, customer due diligence, sanctions / compliance risk / regulatory penalty reduction). Financial Crime prevention,… Financing) compliance, reporting obligations and typologies. Awareness of Financial Crime frameworks, process, controls, new and…
  • 3.4
    BNP Paribas – Jersey City, NJ
    4 days ago 4d
    Supervision of staff daily controls and regulatory reports Work on various regulatory projects and create controls necessary to implement… Vice President for the Regulatory Reporting Control Group (RRC), working as part of a team covering regulatory reporting sent directly…
  • 3.4
    Citibank – Washington, DC
    $161k-$252k(Glassdoor est.)
    HOT
    reporting to the Chief Sanctions Officer. Job Purpose: The Head of Citis OFAC RegulatoryCompliance function is a direct report… Sanctions Compliance Teams, AML Compliance Risk Management, and Sanctions Legal to evaluate sanctions risks and controls; Lead…
  • 4.5
    United Salad – Portland, OR
    $50k-$74k(Glassdoor est.)
    NEW
    Health and Safety ComplianceOfficer Date Posted: 8/24/2017 Location: Portland, OR FT/PT Status: Full Time… Responsibilities: Position Overview The Health and Safety ComplianceOfficer is responsible for providing leadership and technical…
  • 3.5
    Jewish Family Service of Colorado – Denver, CO
    EASY APPLY
    $50k-$74k(Glassdoor est.)
    12 days ago 12d
    management, and employees are in compliance with external regulatory requirements, internal policies and procedures, professional… effective compliance communications program. Assist HIPAA Privacy Officer and Security Officer to ensure compliance with regulatory…
  • 3.1
    Popular Community Bank – San Juan, PR
    $16k-$24k(Glassdoor est.)
    12 days ago 12d
    opportunities to strengthen the design and effectiveness of internal processes and controls. Essential Duties and Responsibilities… Analytical capacity to evaluate financial information and internalcontrol systems. This includes but is not limited to: analysis…
  • 2.9
    People's United Bank – Wethersfield, CT
    $50k-$75k(Glassdoor est.)
    4 days ago 4d
    the Senior ComplianceOfficer. Adheres to compliance standards, procedures and internal/operational risk controls in accordance… order to maintain processes and controls that improve efficiency and compliance with regulatory requirements. Principal Responsibilities…
  • Blue Federal Credit Union – Cheyenne, WY
    $55k-$82k(Glassdoor est.)
    11 days ago 11d
    Role Functions as the RegulatoryComplianceOfficer by maintaining a regulatorycompliance program including evaluation of… of the internalcontrol structure. Major Duties and Responsibilities Effectively maintains a regulatorycompliance program…
  • 3.4
    McGraw-Hill Financial – New York, NY
    $74k-$109k(Glassdoor est.)
    10 days ago 10d
    Covering ComplianceOfficer (RCCO) and, at times, the Chief ComplianceOfficer (North America) on significant compliance matters… follow-up of any compliance-related internal investigations (or the compliance-related aspects of any wider internal investigations…
  • 4.0
    FirstBank (TN) – Lexington, TN
    $36k-$60k(Glassdoor est.)
    13 days ago 13d
    of the banks system of internalcontrols for deposit and loan compliance Participates in the audit planning process for various… and corrective action with the ComplianceOfficer Additionally assists in operational compliance during the planning and implementation…
  • 4.3
    American Advisors Group – Orange, CA
    $91k-$132k(Glassdoor est.)
    5 days ago 5d
    quality control, and change and issues management; Advise management on regulatorycompliance, with emphasis on compliance with… Director, ComplianceOfficer will be part of our Corporate Risk team, reporting directly to the Chief Risk Officer. The Compliance…
  • 4.0
    FirstBank (TN) – Lexington, TN
    13 days ago 13d
    of the banks system of internalcontrols for deposit and loan compliance Participates in the audit planning process for various… and corrective action with the ComplianceOfficer Additionally assists in operational compliance during the planning and implementation…
  • 3.3
    STERIS – Chester, NY
    $87k-$139k(Glassdoor est.)
    6 days ago 6d
    its quality and compliance objectives with regard to supplier controls. The Quality and RegulatoryCompliance Manager is responsible… experience, preferably including regulatory affairs, legal or governmental compliance, quality systems, internal auditing, applicable scientific…
  • 3.1
    BMO Harris Bank – Chicago, IL
    $80k-$117k(Glassdoor est.)
    NEW
    auditors during internal, external and regulatory audits and examinations. Provide regulatory perspective on appropriateness… effectively achieve compliance goals, the Compliance Management Professional, LCCG maintains current knowledge of regulatory requirements…
  • 3.4
    Citibank – Irving, TX
    $70k-$103k(Glassdoor est.)
    27 days ago 27d
    Irving, the VP ComplianceOfficer reports to a Director in the Ethics Office and ultimately to Citi's Chief Ethics Officer within Citi's… ,Dallas Education: Doctorate Degree Job Function: Compliance and Control Schedule: Full-time Shift: Day Job Employee Status…
  • 3.4
    HSBC Holdings – Buffalo, NY
    $43k-$64k(Glassdoor est.)
    10 days ago 10d
    Business ComplianceOfficer, Area ComplianceOfficer or Local ComplianceOfficer, ensuring adequate compliance resources and training… for controls. Management of Risk Ensure compliance, operational risk controls in accordance with HSBC or regulatory standards…
  • 3.7
    Raymond James – Kansas City, MO
    $44k-$66k(Glassdoor est.)
    7 days ago 7d
    Oversees the testing and verifies internalcontrols are adequate to achieve compliance with prevailing rules and regulations… Investments, Inc. regulatorycompliance program. Develops policies and procedures and designs processes to mitigate regulatory risks. Oversees…
  • 3.1
    BMO Harris Bank – Chicago, IL
    $50k-$74k(Glassdoor est.)
    NEW
    auditors during internal, external and regulatory audits and examinations. Provide regulatory perspective on appropriateness of LOB… effectively achieve compliance goals, the Compliance Management Professional, LCCG maintains current knowledge of regulatory requirements…
  • 3.6
    Village Capital & Investment – Henderson, NV
    $38k-$56k(Glassdoor est.)
    6 days ago 6d
    all regulatory requirements. The ComplianceOfficer must stay current with all applicable regulatory changes and internal policy… Operations, Compliance, Investor Relations, Quality Control and Sales. We are currently seeking a Mortgage ComplianceOfficer. The…
  • 3.4
    Citibank – Irving, TX
    $94k-$136k(Glassdoor est.)
    10 days ago 10d
    independent control function (e.g. Compliance Testing or Internal Audit) preferred. AML compliance, AML regulatory, AML audit or… regulations and corresponding Citi policies. The Compliance Testing Officer must be able to work independently as well as part…
  • 3.5
    TIAA – Charlotte, NC
    HOT
    knowledge of relevant securities laws, regulatorycompliance, risk management and risk controls Ability to interact with all levels… , and managing, both internal and external audits. Assist in the design and maintenance of a Compliance Risk Assessment in regard…
  • 3.7
    Popular – New York, NY
    $69k-$101k(Glassdoor est.)
    28 days ago 28d
    of Banking.” PCB RegulatoryCompliance We are looking for a ComplianceOfficer to join our Compliance Team in New York, NY… experience in consumer compliance and J.D. degree a plus. All employees must comply with regulatorycompliance and assigned training…
  • 3.7
    RBC – New York, NY
    $80k-$116k(Glassdoor est.)
    5 days ago 5d
    Futures Compliance Manual and related compliance bulletins.(10%) Develop and conduct training on various business/regulatory matters… Part of the Capital Markets Compliance functions Key impact in managing regulatory and compliance risk and related reputational…
  • 3.0
    Harris Bankcorp – Chicago, IL
    $66k-$97k(Glassdoor est.)
    NEW
    auditors during internal, external and regulatory audits and examinations. Provide regulatory perspective on appropriateness… effectively achieve compliance goals, the Compliance Management Professional, LCCG maintains current knowledge of regulatory requirements…
  • 3.0
    Fitch Ratings – New York, NY
    5 days ago 5d
    into the Global Head of RegulatoryCompliance (based in London) and the Global Chief ComplianceOfficer (based in New York).… to enhance the compliancecontrol environment Participating in (or leading) Compliance policy or regulatory change initiatives…
  • 3.7
    Morgan Stanley – Baltimore, MD
    NEW
    the Group, the Legal and Compliance Division, Operational Risk, Internal Audit and other internalcontrol functions Skills Required… financial services compliance, audit or other control functions involving broker-dealer operations Strong regulatory background, including…
  • 3.5
    GM Financial – Fort Worth, TX
    $61k-$99k(Glassdoor est.)
    12 days ago 12d
    recommendations to promote federal regulatorycompliance goals and objectives and enhance policies, procedures, controls, testing and related… achieving regulatorycompliance. Foster and champion an environment that promotes continuous improvement, appropriate controls, quality…
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