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Compliance Officer Jobs In United States

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Search results: 1 - 10 of 190

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

AVP Regulatory Compliance - Executive Office (00007SA9)

96%

Hongkong and Shanghai Banking Corporation. Buffalo

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 Manager Regulatory Compliance - FRBC (00007VAI)

91%

Hongkong and Shanghai Banking Corporation. Depew

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

Compliance Analyst (003014)

71%

Morningstar, Inc..

The Group: Morningstar Credit Ratings, LLC Compliance The Role: The position: assists the firm's designated compliance officer in the NYC or Horsham office... Responsibilities: Responsible for assisting the firm's designated compliance officer in his administration of the firm's compliance program... Expected to travel to and temporarily work out of the.

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

Senior Analyst Financial Crimes Compliance & Regulatory Compliance Management Information Systems (00007IQB)

70%

Hongkong and Shanghai Banking Corporation. Buffalo

Work as team member or team lead to deliver a comprehensive suite of MIS to the compliance function... The MIS covers Financial Crimes Compliance (FCC) ,Regulatory Compliance (RC) and the Shared Services function... The MIS should be produced in a timely manner with automated and accurate data. The reporting should.

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

Senior Regulatory Compliance Content Specialist (00007KWN)

67%

Hongkong and Shanghai Banking Corporation. Buffalo

Responsible for collaborating with the FCC/RC Compliance Officers to conduct Compliance Training Needs Assessments with consideration given to the risk assigned to the impacted business(s) or Regulation through the HNAH Enterprise Risk Assessment and with the FCC/RC Compliance Teams to determine training needs arising from multiple elements including but not...

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

Corporate Banking Manager - Middle Market - International Banking Team (127355315)

67%

Network. New York

HSBC corporate consists of c. 60,000 Mastergroups in the Large Corporate (LC) and Middle Market Enterprise (MME) segments and represents CMB's largest and more complex customers. On a per average customer revenue basis, Corporate customers are also CMBs most profitable customers. CMB Corporate provides standard commercial banking products (working capital.

Sector Software Analytics
Sub Sector Non-Financial Corporate
Employment Type Contract
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

VP Director Regulatory Compliance (00007RIF)

66%

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
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