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Compliance Officer Jobs In United States

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Search results: 1 - 10 of 148

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

100%

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

VP Senior Manager Local Compliance Officer - Swap Dealer - Advisory (000088R7)

89%

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, Operations) on swap...

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

Assistant Vice President Manager Local Compliance Officer - Swap Dealer (00008EQQ)

89%

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, Operations) on swap...

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

VP Senior Manager Local Compliance Officer - Swap Dealer - Advisory (0000898Y)

89%

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, Operations) on swap...

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

VP Senior Manager LCO - Swap Dealer - Regulatory Inquiries (000089ZP)

81%

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 overseeing swap dealer Regulatory Inquiries on behalf of the CCO Responsibilities will also include the following: Review and management of all 4S correspondence with the NFA Management of all regulatory visits and information...

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

Retirement Products & Services Compliance Officer (25254)

72%

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

VP Senior Manager Regulatory Compliance - CMB (00008G8I)

70%

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

VP Senior Manager Regulatory Compliance - CMB (00008G8G)

70%

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

VP Senior Manager Regulatory Compliance - Equities (000088KJ)

70%

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

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

69%

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
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