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Compliance Officer Jobs In United States

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Search results: 1 - 10 of 163

AVP Senior Regulatory Compliance Officer - CRA and HMDA Data Management (00007Q3B)

100%

Hongkong and Shanghai Banking Corporation. Arlington Heights

AVP Manager Regulatory Compliance Officers are aligned by regulation(s), regulatory requirements, and/or a particular set of compliance risks and provide compliance support to the first and second lines of defense across HNAH relative to assigned regulation(s), regulatory requirements and/or compliance risks... Identifies any possible compliance deficiencies related to assigned regulation(s),...

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

Director, Regulatory Compliance Assurance - Securities (00007GKT)

88%

Hongkong and Shanghai Banking Corporation. New York

Responsible for leading periodic functional reviews of assigned areas within the Second Line of Defense Compliance teams, U... S. , in accordance with a continuous risk based methodology and in support of the Global Assurance operating model. Uses technical expertise and experience to contribute to reviews of assigned areas. Develops...

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

AVP Regulatory Compliance Officer - GBM (00007H1A)

87%

Hongkong and Shanghai Banking Corporation. New York

Responsible for assigned deliverables to support internal customers such as RBWM, Institutional Fixed Income, Equities, US and Foreign Research, Futures, HSBC BankUSAN. A. AMUS, CMB and Foreign Affiliates. Coordinates state licensing, regulatory filings, and examination management including those activities related to state and regulatory agencies. Identifies individual violations from a...

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

Senior Vice President Regulatory Compliance Officer - Volcker Compliance (00007LUJ)

80%

Hongkong and Shanghai Banking Corporation. New York

SVP Regulatory Compliance Officers are aligned by regulation(s), regulatory requirements, and/or a particular set of compliance risks and serve as the key subject matter expert for assigned area(s)... Provides compliance support, advice, and guidance to the first and second lines of defense across HNAH relative to assigned regulation(s), regulatory requirements,...

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

Vice President Regulatory Compliance Officer - Volcker Compliance (00007IPX)

78%

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

Senior Vice President, Head of Equities Compliance (00007GKS)

77%

Hongkong and Shanghai Banking Corporation. New York

Serves as the lead or a key 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... Develops and maintains appropriate.

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

Senior Manager Regulatory Compliance, Commercial Banking, Payments & Cash Management (000076D1)

76%

Hongkong and Shanghai Banking Corporation. Toronto

Role is open in both Vancouver and Toronto Employment Type: Regular This position has primary responsibility for the Compliance Risk Management program in Canada (development, implementation and maintenance)... This position is also responsible to provide direction on the program to Local Compliance Officers (LCOs) and other Compliance staff in all...

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

Manager Commercial Banking Business Risk and Control Management. (00007P4J)

70%

Hongkong and Shanghai Banking Corporation. Buffalo

The role holder is expected to facilitate 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

SVP Regulatory Compliance Strategic Initiatives (00007R3F)

67%

Hongkong and Shanghai Banking Corporation. New York

SVP Regulatory Compliance Officers are aligned by regulation(s), regulatory requirements, and/or a particular set of compliance risks and serve as the key subject matter expert for assigned area(s)... Provides compliance support, advice, and guidance to the first and second lines of defense across HNAH relative to assigned regulation(s), regulatory requirements,...

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

Designated Compliance Officer (003374)

67%

Morningstar, Inc..

's Compliance Team is currently seeking a Designated Compliance Officer... The Designated Compliance Officer will focus entirely on the regulatory and compliance matters associated with Morningstar Credit Ratings, LLC (-Morningstar Credit Ratings-)... The Team: Morningstar Inc. Morningstar Credit Ratings is registered with the U. S. Securities and Exchange Commission as...

Region/Country Americas, United States
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