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Compliance Officer Jobs In United States

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Search results: 1 - 10 of 463

AVP Senior Regulatory Compliance Officer – Trade Surveillance (Commodities) (00009592)

89%

Hongkong and Shanghai Banking Corporation. New York

AVP Senior Regulatory Compliance Officer - Trade Surveillance (Commodities) The individual will be part of the overall Market Surveillance program within Globa Banking & Markets in the US... Market Surveillance develops, maintains and conducts surveillance reviews relating to potential market abuse and market conduct issues. This individual will mainly be.

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 (000083NT)

72%

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

Vice President Senior Manager Regulatory Compliance - Governance (00009I9Z)

72%

Hongkong and Shanghai Banking Corporation. New York

VP Senior Manager Regulatory Compliance Officers serve as a key subject matter expert for assigned area(s), in particular US RC Governance... This role may act as the lead SME, while others will be under the direction of a lead SME. Impact on the Business Provides advisory services and direction to.

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

Head of Regulatory Compliance Conduct Risk (00009JRF)

89%

Hongkong and Shanghai Banking Corporation. Vancouver

Employment Type: Regular Reporting to the Head of Regulatory Compliance Canada, the Head of RC Conduct Risk is the senior and lead Conduct Compliance subject matter expert... The role is responsible for guidance, advice, controls and monitoring over matters pertaining to the Global Business, Global Function, RC function, and senior.

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

AVP – Senior Regulatory Compliance Officer – Surveillance Assurance and Validation (00009CHT)

91%

Hongkong and Shanghai Banking Corporation. Arlington Heights

This individual will be part of the overall Regulatory Group Surveillance team covering assurance, validation, management reporting (MI) and issues management for the Americas across multiple businesses. Role Context Manage the assurance risks within the Americas' Surveillance tools, including data and model governance, validation, quality assurance and issues management, to.

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

AVP Senior Regulatory Compliance Officer – Trade/E-Comms Surveillance (RBWM/PB) (00009CH9)

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 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

Vice President Regulatory Compliance Global Manager - Global Banking and Markets (00008X4B)

96%

Hongkong and Shanghai Banking Corporation. New York

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

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

AVP – Senior Regulatory Compliance Officer – Surveillance Investigations (00009CHE)

91%

Hongkong and Shanghai Banking Corporation. Arlington Heights

This individual will be part of the overall Regulatory Group Surveillance team covering investigations, enhanced surveillance and pro-active surveillance for the Americas across multiple businesses. Principal Accountabilities: Key activities and decision making areas Role Context (The environment and operating conditions of the role including the extent of guidance and authority).

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

Senior Vice President US Head of Financial Crimes Compliance Trade Str (233135222)

94%

Network. New York

The SVP, Financial Crime Compliance (FCC) Officer is responsible for developing, integrating, and maintaining an effective FCC compliance framework for Global Trade and Receivables Finance (GTRF) across lines of business in order to support FCC risk mitigation and business growth in a safe and sound manner... The role will: *.

Sector Other
Sub Sector Government Sponsored Entity
Employment Type Permanent
Region/Country Americas, United States

AVP – Senior Regulatory Compliance Officer – Surveillance Assurance and Validation (00009CHX)

91%

Hongkong and Shanghai Banking Corporation. Arlington Heights

This individual will be part of the overall Regulatory Group Surveillance team covering assurance, validation, management reporting (MI) and issues management for the Americas across multiple businesses. Role Context Manage the assurance risks within the Americas' Surveillance tools, including data and model governance, validation, quality assurance and issues management, to.

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