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Compliance Officer Jobs In United States

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Search results: 1 - 10 of 108

Retirement Products & Services Compliance Officer (25254)

69%

T. Rowe Price. Owings Mills

Our mission as a leading investment management firm is to help our clients achieve their long-termfinancial goals. We believe our associates are the key to this mission and we arealways looking fortalented individuals who share our commitment to our clients success. If youre looking for challenging work experiences and the.

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

Assistant Vice President Senior Regulatory Compliance Officer - Trade Surveillance (Foreign Exchange or Futures) (0000A1W1)

100%

Hongkong and Shanghai Banking Corporation. New York

The individual will be part of the overall Capital Markets Surveillance program within the US. Market Surveillance develops, maintains and conducts surveillance reviews relating to potential market abuse and market conduct issues. This individual will mainly be responsible for either FX and derivatives or Futures related surveillance, but not limited.

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

Senior Compliance Officer (5353775)

45%

Citizens Financial Group. Boston

Description The Compliance Officer is an experienced compliance contributor with experience focused in corporate regulations that affect the Commercial Banking and Risk businesses... This position requires a record of demonstrated business knowledge and effective delivery, which will enable improved business compliance for the noted divisions within Citizens Bank as well...

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

Global Liquidity and Cash Management Senior Account Manager (00009MBP)

85%

Hongkong and Shanghai Banking Corporation. Buffalo

This position will manage a portfolio of GLCM client relationships and serve as the primary point of contact for the highest value GLCM relationships (Tier 1&2) both domestically and globally. They will also be the designated Global Client Account Manager for the Key Account Management program (KAM) managing highly profitable.

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

Compliance Executive Assistant (2440156)

58%

AON. Chicago

Job DescriptionNorth American Compliance Executive Assistant The Compliance team is seeking an Executive Assistant in Chicago... Reporting directly to the Chief Compliance Officer, North America, the Executive Assistant will provide support to the Chief Compliance Officer, North America, the North American Compliance team and the Global Compliance team as set...

Region/Country Americas, United States

Global Liquidity and Cash Management Senior Account Manager (00009Q6M)

85%

Hongkong and Shanghai Banking Corporation. New York

This position will manage a portfolio of GLCM client relationships and serve as the primary point of contact for the highest value GLCM relationships (Tier 1&2) both domestically and globally. They will also be the designated Global Client Account Manager for the Key Account Management program (KAM) managing highly profitable.

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

Asset & Wealth Management – Alternative Investments Compliance Manager – Vice President (170073704)

45%

JPMorgan Chase. New York

JP Morgan Chase JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average,.

Employment Type Full Time
Region/Country Americas, United States

Director - Compliance Risk Management (18000544)

45%

American Express Company. New York

We are seeking a Compliance Director who will manage and lead operations for the Global Legal Inventory (GLI) and Compliance Risk Assessments (CRA) processes... This is an enterprise role responsible for developing, implementing, executing, and maintaining effective and efficient processes, standards, and best practices for the identification and maintenance of.

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

Vice President Senior Manager - Local Compliance Officer (0000A6W6)

90%

Hongkong and Shanghai Banking Corporation. New York

Provides compliance support, advice, and guidance to the first and second lines of defense across HNAH relative to assigned regulation(s), regulatory requirements and/or compliance risks... Provides regulatory compliance expertise to support strategic initiatives and advises the first and second lines... Serves as a key subject matter expert for assigned area(s).

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

Business Risk & Control Management (00009ZGE)

43%

Hongkong and Shanghai Banking Corporation. New York

Business Risk & Control Management (BRCM) promotes, supports and ensures the Business/Function Management owns its risk and controls as the first line of defense to Operational Risk Compliance, Fiduciary, Legal, Information, Accounting, Tax, External Fraud, Internal Fraud, People, Political, Physical, Business Continuity, Systems, Operations, Project, ensuring that all key risks...

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