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Compliance Officer Jobs In United States

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Search results: 1 - 10 of 131

Senior Global Liquidity and Cash Management Sales Manager (00009FJQ)

78%

Hongkong and Shanghai Banking Corporation. New York

Global Liquidity and Cash Management (GLCM) is one of HSBC's global product lines generating over 10% of Group revenues. Supporting Commercial Banking (CMB) and Global Banking and Markets (GBM), our business is made up of almost 10,000 people in more than 55 countries, and is uniquely positioned to help clients.

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

Retirement Products & Services Compliance Officer (25254)

64%

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

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

78%

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

EAC Compliance Manager - Information Barriers (17057458)

49%

Bank of America. Charlotte

Job Description: Job Description The Enterprise Area of Coverage ("EAC") Compliance Manager is a subject matter expert responsible for contributing to the independent compliance oversight of Front Line Unit ("FLU") and Control Function ("CF") performance and any related third party/vendor relationships by engaging with the compliance officer teams for the...

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

Senior Vice President Americas Head of Regulatory Compliance HSS (00008RW3)

53%

Hongkong and Shanghai Banking Corporation. New York

Ensures compliance of the HSS (HSBC Security Services) Americas business with all applicable laws and industry regulations by providing compliance support, advice, and guidance to the business... Provides compliance functional oversight and guidance to the non-US HSS LCOs (specifically Brazil, Mexico and Argentina) and relevant Heads of GBM Compliance in...

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

Senior Compliance Officer Regulatory Compliance (00009T6J)

76%

Hongkong and Shanghai Banking Corporation. Buffalo

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

Manager, Compliance Advisory – Capital One Securities, Inc. (5652737)

55%

Capital One. Louisiana

Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking... Place St Charles (37701), United States of America, New Orleans, Louisiana At Capital One, we're building a leading information-based technology company.

Sector Asset Management
Sub Sector Traditional Asset Manager
Region/Country Americas, United States

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

100%

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

Global Liquidity and Cash Management Senior Implementation Manager (000099DM)

78%

Hongkong and Shanghai Banking Corporation. Buffalo

The role holder is responsible for turning revenue opportunities brought by GLCM Sales, RM's and Client Service Officers into realized revenue... This position manages the end-to-end customer implementation function for Payments and Cash Management (GLCM), ensuring proper staffing, policies, procedures and work tools are in place to support the function.

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

Assistant Vice President Regulatory Compliance Officer (00009SJP)

50%

Hongkong and Shanghai Banking Corporation. Buffalo

As Risk Stewards, Regulatory Compliance (RC) Advisors provide advice, guidance, opinions, direction, and training related to the regulatory landscape to the First Line of Defence/business... They ensure the business complies with the letter and spirit of relevant regulations, thereby delivering fair outcomes for customers and embedding a robust risk management.

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