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Regulatory Compliance Officer Jobs

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  • 3.5
    UBS – New York, NY
    Est. Salary $85k-$149k
    3 days ago 3d
    lending private fund. Respond and provide guidance to daily compliance inquiries from investment and other senior professionals.…
  • 3.3
    M&T Bank – Buffalo, NY
    Est. Salary $50k-$91k
    17 days ago 17d
    presentation of regulatory risks/compliance updates to the Deputy Compliance Officer and / or Enterprise Compliance Officer and for other… Position Responsibilities (a) Legal & Regulatory Risk Ranking. Assists the Deputy Compliance Officer in managing and maintaining the…
  • 2.8
    Mosaic Community Services – Silver Spring, MD
    Est. Salary $73k-$131k
    12 days ago 12d
    agency to ensure that all programcomponents are in compliance with regulatory guidelines including COMAR, DDA,ADAA, and MHP regulations… the functions of the Compliance Committee including implementation and enforcement of the agency's Compliance Program and policies…
  • 3.4
    Societe Generale – New York, NY
    Est. Salary $91k-$158k
    15 days ago 15d
    PRIOR WORK EXPERIENCE 7-10 years Compliance experience in large financial services firm Compliance testing or Audit experience required… The Compliance Testing and Monitoring (CTM) group is responsible for developing and executing an annual risk-based schedule of…
  • 3.5
    Major, Lindsey & Africa – McLean, VA
    2 days ago 2d
    input relating to compliance with relevant laws, rules and regulations Develop and produce responses to regulatory inquiries on behalf… and develop methods to mitigate compliance risks to the firm Operate and enhance a compliance program for the firm's SEC-registered…
  • 2.0
    COMHAR Inc – Philadelphia, PA
    Est. Salary $105k-$180k
    16 days ago 16d
    Chief Compliance Officer Reports to: Quality Management Director Location: Administrion Function as a Compliance Officer… COMHAR, Inc. is looking for a Compliance Officer who possesses the ability to work independently and as a part of a team, possessing…
  • 4.1
    F5 Networks – Seattle, WA
    Est. Salary $71k-$128k
    3 days ago 3d
    the job experience in a compliance officer role. * A minimum of 10 years' experience in compliance at a high tech global environment… resources, chief information security officer, accounting, and finance) to direct compliance issues to appropriate channels for investigation…
  • 3.8
    Pacific Life – Newport Beach, CA
    Est. Salary $96k-$170k
    19 days ago 19d
    Deputy Chief Compliance Officer, the Director & CCO, PSD will be responsible for and manage a team of compliance professionals… This role will serve as the Chief Compliance Officer (“CCO”) for Pacific Select Distributors LLC, Pacific Life’s affiliated limited…
  • 3.7
    JLL – Chicago, IL
    Est. Salary $89k-$158k
    27 days ago 27d
    Distributors, LLC TITLE: Chief Compliance Officer LOCATION: Chicago, IL DEPARTMENT: Broker-Dealer Compliance EMPLOYEE TYPE: Part-time… motivated and experienced Chief Compliance Officer (CCO) to manage the broker-dealer compliance program of its captive broker-dealer…
  • 3.5
    Windhaven Insurance – Austin, TX
    Est. Salary $54k-$80k
    10 days ago 10d
    to ensure ongoing compliance with state requirements. Assist with various Legal, Compliance and Regulatory projects. Successful… Department of Insurance is preferred. 5+ years of compliance or regulatory work in P&C insurance. Strong understanding of insurance…
  • 2.3
    Leica Biosystems – Chicago, IL
    Est. Salary $112k-$194k
    8 days ago 8d
    change agent to engender a culture of compliance within Leica Biosystems. The Compliance Officer will partner with the Leica Biosystems… understanding of applicable regulatory and compliance requirements for medical device company, compliance risk management practices…
  • 3.4
    HSBC – Depew, NY
    Est. Salary $39k-$66k
    3 days ago 3d
    Officer, Area Compliance Officer or Local Compliance Officer, ensuring adequate compliance resources and training, fostering a compliance… unit support during compliance-related regulatory examinations. Monitors the status of any material compliance issues identified…
  • 3.8
    Pacific Life – Newport Beach, CA
    Est. Salary $96k-$170k
    19 days ago 19d
    spectrum of regulatory and compliance matters applicable to Pacific Life’s business. Reporting to the Chief Compliance Officer (“CCO)… the Anti Money Laundering Compliance Officer, the Privacy Officer, and the Chief Compliance Officer for the Separate Accounts…
  • 3.1
    Hanlon Investment Management – Egg Harbor Township, NJ
    Est. Salary $93k-$163k
    22 days ago 22d
    POSITION:Chief Compliance Officer DEPARTMENT:Executive REPORTS TO:Chief Executive Officer STATUS:Exempt JOB SUMMARY… advises operating units and managers affected by compliance issues and regulatory requirements. Supervises the preparation and answer…
  • Career Brokers – Oak Brook, IL
    Est. Salary $51k-$91k
    5 days ago 5d
    results.Participate in general compliance activities including legal and regulatory compliance. Company Description Career Brokers… experience preferred. Position Summary of Senior Compliance Analyst Seeking Senior Compliance Analyst to establish effective SOX control…
  • 3.4
    Selby Jennings – Miami, FL
    Est. Salary $66k-$116k
    11 days ago 11d
    Chief Compliance Officer - Broker/Dealer - Miami Date: 14 Feb 2017 Location: United States, Miami Salary: 100,000 - 200,000… testing to determine the effectiveness of the firm's compliance against regulatory requirements, internal policies, and best practices…
  • 3.3
    Hilton Grand Vacations – Orlando, FL
    21 days ago 21d
    and training material related to privacy, security and regulatory compliance. Report on a regular basis, and as directed or requested… legal, regulatory and accreditation requirements and standards that govern privacy, as well as mitigating legal and regulatory compliance…
  • 3.1
    Fresenius Medical Care – Waltham, MA
    Est. Salary $107k-$173k
    13 days ago 13d
    overall functioning of the Compliance Department. Assists the Sr. Vice President and Chief Compliance Officer with team building, professional… management and the Senior Vice President and Chief Compliance Officer to present to the Board of Directors as requested, including…
  • 3.5
    New York Life Insurance Co – New York, NY
    Est. Salary $121k-$209k
    6 days ago 6d
    the Chief Compliance Officer of the Investments Group and will be responsible for all aspects of the advisers’ compliance programs… Chief Compliance Officer will serve as a strong steward for the firm who will interface with senior management on compliance matters…
  • 2.7
    Money Mart – Malvern, AR
    Est. Salary $101k-$169k
    6 days ago 6d
    to implement regulatory compliance strategies. Reports to the Senior Vice President for Global Regulatory Compliance. Will execute… of the organizations compliance controls. Work with Senior Vice President, Global Regulatory Compliance and Government Affairs…
  • 3.6
    TD – Mount Laurel, NJ
    Est. Salary $72k-$125k
    5 days ago 5d
    implementing compliance initiatives to help manage regulatory risk. Requirements •Works independently as the senior officer and may… Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements…
  • 3.4
    Societe Generale – New York, NY
    Est. Salary $91k-$158k
    15 days ago 15d
    depth of experience working in Financial Crimes Compliance Compliance testing or Audit experience EDUCATION B.A./B.S. required LANGUAGE… responsible for helping to executing the Financial Crimes Compliance (FCC) portion of the CTM risk-based testing plan. Responsibilities…
  • 2.3
    Options Clearing Corporation – Chicago, IL
    Est. Salary $84k-$147k
    30+ days ago 30d+
    cutting-edge regulatory compliance protocols, including: Implementing a compliance program in accordance with the regulatory requirements… least 4 years of experience in compliance, legal, or regulatory affairs. Experience at a regulatory body (i.e. SEC, CFTC, Fed, etc…
  • 3.0
    DST Systems – Birmingham, AL
    Est. Salary $41k-$62k
    7 days ago 7d
    ever-changing customer requirements. Role Overview Regulatory Compliance Analysts manage development life cycle projects and… implications of the application of various systems. Regulatory Compliance Analysts mentor and train less experienced analysts.…
  • 3.5
    Hill Physicians Medical Group, Inc. – San Ramon, CA
    Est. Salary $48k-$77k
    3 days ago 3d
    The Regulatory Compliance Specialist is a member of the Compliance Department and reports to the Compliance Director. This position… maintaining the regulatory compliance portal on the PriMed Intranet, producing monthly Regulatory Compliance Newsletters for the…
  • 5.0
    Job Juncture – Dallas, TX
    Est. Salary $83k-$146k
    9 days ago 9d
    of compliance matters. Describe and implement a process for reporting to the Chief Risk Officer the status of regulatory compliance… The Chief Compliance Officer is answerable to the following: Maintain and improve an enterprise wide compliance risk management…
  • CRG – Charlotte, NC
    Est. Salary $51k-$89k
    12 days ago 12d
    cyber security, auditing, compliance, regulatory or related experience with at least 2 years NERC Compliance experience. • Must pass… key IT enterprise teams and IT NERC CIP Compliance areas ensuring that NERC CIP regulatory requirements are appropriately understood…
  • 2.9
    Bank of the West – San Francisco, CA
    Est. Salary $66k-$98k
    3 days ago 3d
    compiles quarterly Reg. W certifications · Assists Reg W Compliance Officer with other Reg W projects and tasks as needed. *LI-NR1… to establish and maintain the Bank’s Reg W compliance program. · Supports Regulatory and Internal Reg. W audits and exams and works…
  • 4.3
    Business Control Systems – Charlotte, NC
    Est. Salary $44k-$66k
    13 days ago 13d
    at least 4 years utility, cyber security, auditing, compliance, regulatory, quality assurance, or related experience • Must pass… with audit skills, controls, security and related industry regulatory issues. • Has the ability to manage confidential information…
  • 3.7
    SNI Financial – Downers Grove, IL
    Est. Salary $47k-$69k
    10 days ago 10d
    lead the Compliance team. Participate in general compliance activities, including those related to legal and regulatory compliance… Financial is hiring a Senior Compliance Analyst for one of our top manufacturing clients. The Senior Compliance analyst will be responsible…
  • RSR Corporation – Irving, TX
    Est. Salary $43k-$66k
    13 days ago 13d
    BESTOLIFE is currently seeking a talentedand experienced Regulatory Compliance Analyst who will be responsible forensuring timely collection… compliant Safety Data Sheets, and propercommunication to regulatory agencies. Conventions to be considered include, butare not…
Job Title Location Employer Salary
Senior Compliance Officer New York, NY UBS $85k-$149k
Sr. Compliance Officer - Privacy Buffalo, NY M&T Bank $50k-$91k
Chief Compliance Officer Silver Spring, MD Mosaic Community Services $73k-$131k
Senior Compliance Officer - Testing & Monitoring Lead New York, NY Societe Generale $91k-$158k
Investment Advisor Compliance Attorney McLean, VA Major, Lindsey & Africa $75k-$111k
Chief Compliance Officer Philadelphia, PA COMHAR Inc $105k-$180k
Senior Compliance Officer Seattle, WA F5 Networks $71k-$128k
Broker Dealer Chief Compliance Officer Newport Beach, CA Pacific Life $96k-$170k
Chief Compliance Officer (Part-Time) Chicago, IL JLL $89k-$158k
Sr. Compliance Analyst Austin, TX Windhaven Insurance $54k-$80k
Chief Compliance Officer Chicago, IL Leica Biosystems $112k-$194k
Assistant Vice President, Senior Compliance Officer RBWM RC Consumer Deposits Depew, NY HSBC $39k-$66k
Deputy Chief Compliance Officer Newport Beach, CA Pacific Life $96k-$170k
Chief Compliance Officer Egg Harbor Township, NJ Hanlon Investment Management $93k-$163k
Senior Compliance Analyst Oak Brook, IL Career Brokers $51k-$91k
Chief Compliance Officer - Broker/Dealer Miami, FL Selby Jennings $66k-$116k
In House Privacy and Compliance Attorney Orlando, FL Hilton Grand Vacations $73k-$125k
Vice President, Compliance Chief Administrative Officer Waltham, MA Fresenius Medical Care $107k-$173k
Chief Compliance Officer, New York Life Investors New York, NY New York Life Insurance Co $121k-$209k
VP, Global Chief Compliance Officer Malvern, AR Money Mart $101k-$169k
Senior Compliance Officer – AML Governance Mount Laurel, NJ TD $72k-$125k
Senior Compliance Officer Financial Crimes Testing & Monitoring Lead New York, NY Societe Generale $91k-$158k
Senior Compliance Officer Chicago, IL Options Clearing Corporation $84k-$147k
Regulatory Compliance Analyst Birmingham, AL DST Systems $41k-$62k
Regulatory Compliance Specialist (Healthcare) San Ramon, CA Hill Physicians Medical Group, Inc. $48k-$77k
Chief Compliance Officer Dallas, TX Job Juncture $83k-$146k
Senior Compliance Analyst Charlotte, NC CRG $51k-$89k
Sr Compliance Analyst REG W San Francisco, CA Bank of the West $66k-$98k
IT Senior Compliance Analyst Charlotte, NC Business Control Systems $44k-$66k
Senior Compliance Analyst Downers Grove, IL SNI Financial $47k-$69k
Regulatory Compliance Analyst Irving, TX RSR Corporation $43k-$66k
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