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Compliance Officer Jobs In United States

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Search results: 1 - 10 of 159

VP Senior Manager Local Compliance Officer - Swap Dealer - Policies and Procedures (0000821G)

100%

Hongkong and Shanghai Banking Corporation. New York

AVP Manager Regulatory Compliance Officers are aligned by regulation(s), regulatory requirements, and/or a particular set of compliance risks and provide compliance support and may provide advice and guidance to the first and second lines of defense across HNAH relative to assigned regulation(s), regulatory requirements, and/or compliance risks... In most cases,.

Sector Asset Management
Sub Sector Traditional Asset Manager
Employment Type Full Time
Region/Country Americas, United States

AVP Senior Compliance Officer - US Sanctions (0000828C)

95%

Hongkong and Shanghai Banking Corporation. New Castle

Manages assigned specialized compliance functions and/or operations for financial services business groups of the largest and most complex nature... Manages and participates in the provision of investigative due diligence for potential and existing customers and parties involved in various transactions to identify suspicious activity, structuring, etc. Provides investigative support for.

Sector Asset Management
Employment Type Full Time
Region/Country Americas, United States

AVP Manager Regulatory Compliance (00007S9Y)

92%

Hongkong and Shanghai Banking Corporation. New York

AVP Manager Regulatory Compliance Officers are aligned by regulation(s), regulatory requirements, and/or a particular set of compliance risks and provide compliance support and may provide advice and guidance to the first and second lines of defense across HNAH relative to assigned regulation(s), regulatory requirements, and/or compliance risks... In most cases,.

Sector Asset Management
Sub Sector Traditional Asset Manager
Employment Type Full Time
Region/Country Americas, United States

VP Senior Manager Local Compliance Officer - Swap Dealer - Advisory (0000821I)

71%

Hongkong and Shanghai Banking Corporation. New York

As a member of the CCO's Swap Dealer Compliance team, this individual will have primary responsibility for advising business and support functions (i... Responsibilities will also include the following: Enhancing the swap dealer compliance program; Revising policies and procedures; Developing training material; Monitoring compliance... e. , Risk, Operastions) on swap...

Sector Asset Management
Sub Sector Non-Financial Corporate
Employment Type Full Time
Region/Country Americas, United States

Analyst Business Risk and Control Management (0000873H)

70%

Hongkong and Shanghai Banking Corporation. Depew

The role holder is expected to support the maintenance of an effective operational risk and control environment via the execution of the Risk and Control Assessment (RCA) process, provide inputs for identification of Top & Emerging risks, undertake and report on Internal Control reviews to test adequacy of controls using.

Sector Asset Management
Employment Type Full Time
Region/Country Americas, United States

VP Senior Manager Local Compliance Officer Swap Dealer - Advisory (000083NT)

64%

Hongkong and Shanghai Banking Corporation. New York

Serves as a Local Compliance Officer (LCO) for an assigned business line, global function or HSBC Technical Services (HTS), provides regulatory compliance expertise and guidance in an advisory capacity to senior management in support of strategic initiatives and management of compliance risk... This role typically reports to either a SVP.

Sector Asset Management
Sub Sector Non-Financial Corporate
Employment Type Full Time
Region/Country Americas, United States

Sanctions Compliance Officer (00008285)

61%

Hongkong and Shanghai Banking Corporation. New Castle

Provides AML/OFAC compliance support to the most complex areas/products in specialized businesses within HBUS and HSBC Group Affiliates... The Compliance Officer (Specialized) is responsible for tracking and reporting on new and amended (AML/BSA/OFAC) regulations and assessing their impact, to provide direction and counsel directly to the line of business regarding...

Sector Asset Management
Employment Type Full Time
Region/Country Americas, United States

Compliance Officer, Health & Benefits Insurance Brokerage (2407139)

56%

AON. Chicago

Job DescriptionAbout Aon Aon Is Looking For A Compliance Officer, Health & Benefits As part of an industry-leading team, you will help empower results for our clients by delivering innovative and effective solutions as part of our Compliance team in Chicago, IL... Your Impact As A Compliance Officer, Health &...

Sector Asset Management
Sub Sector Non-Financial Corporate
Region/Country Americas, United States

Senior Manager Regulatory Compliance GBM Cross Products and e-Trading (00007SST)

56%

Hongkong and Shanghai Banking Corporation. New York

Serves as a cross product expert for Businesses in Markets with focus on Automated and Algorithmic Trading, across trading platforms and similar infrastructures, providing regulatory compliance support and guidance in an advisory capacity to senior management in support of strategic initiatives and management of compliance risk... The role will be.

Sector Asset Management
Sub Sector Non-Financial Corporate
Employment Type Full Time
Region/Country Americas, United States

Retail Brokerage Compliance Officer (163589)

53%

Citizens Financial Group. Canton

Description The Compliance Officer II will support all aspects of compliance activities reporting to the Retail Sr... Compliance Manager... The activities in scope include, but are not limited to: Customer Complaint Management Advertising and Marketing Compliance Review and Oversight Policy and Procedure Development and Advice Regulatory Examination and Inquiry Support...

Sector Asset Management
Sub Sector Traditional Asset Manager
Employment Type Full Time
Region/Country Americas, United States
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