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Compliance Officer Jobs In United States

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Search results: 1 - 10 of 153

Manager Regulatory Compliance - Third Party Risk (00007GLD)

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 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

Manager Regulatory Compliance - Advisory Operations (00007HLL)

100%

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

Director, Regulatory Compliance Assurance, US (00007GKT)

96%

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

Regulatory Compliance Assurance Manager - Securities (000076VW)

96%

Hongkong and Shanghai Banking Corporation. New York

Leads certain periodic functional reviews of assigned areas within the Second Line of Defense Compliance teams, U... Interacts with Compliance... S. , in accordance with a continuous risk based methodology and in support of the Global Assurance Operating model. Performs ad-hoc assignments as directed by Immediate Supervisor or Regional Head...

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

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

84%

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

VP Regulatory Compliance - Executive Office (00007H1I)

82%

Hongkong and Shanghai Banking Corporation. New York

VP Senior Manager 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...

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

Spanish Speaking, KYC - Senior Compliance Officer (00006LNZ)

81%

Hongkong and Shanghai Banking Corporation. Miami

Assists compliance and/or line management, including business, operations and product managers, in implementing changes to products, services, systems and operations to ensure and maintain compliance... Impact on the Business Review and analyze compliance monitoring reports... Maintains constant awareness of new and amended regulations and assesses their impact on assigned areas.

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

Compliance Analyst (003014)

78%

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

Designated Compliance Officer (003374)

73%

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

Financial Crime Compliance Assistant Manager (00007GLF)

70%

Hongkong and Shanghai Banking Corporation. Arlington Heights

Manages and leads a team of senior and junior investigators and support staff regarding complex and sensitive investigations involving money laundering and terrorist financing. The team is responsible for collecting, evaluating, and disseminating information and evidence related to known or suspected money laundering and terrorist financing activities based on the.

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