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Senior Compliance Officer jobs

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SENIOR COMPLIANCE OFFICER - CONTROL ROOM & EMPLOYEE TRADING (HYBRID - NEW YORK)

Develop policies, systems and controls for the administration of Control Room functions with particular focus on Employee Trading and related monitoring and surveillance. Assist in the implementation of the firm's watch and restri...

CompanyYork State Department Of Labor
AddressNew York, NY
CategoryInformation Technology
Date Posted 3 days ago See detail

Senior Compliance Officer - Control Room & Employee Trading (Hybrid - New York)

York State Department Of Labor

New York, NY

Develop policies, systems and controls for the administration of Control Room functions with particular focus on Employee Trading and related monitoring and surveillance. Assist in the implementation of the firm's watch and restri...

3 days ago seen See more...

Senior Compliance Officer

Tti Of Usa, Inc.

Honolulu, HI

Conducts complex quality assurance reviews to validate the effectiveness of the business unit compliance programs and related operational processes. Reviews quarterly monitoring assessments submitted by the business units. Tracks...

7 days ago seen See more...

Senior Compliance Officer

First Technology Federal Credit Union

Hillsboro, OR

Act as compliance subject matter expert and second line of defense to provide support and oversight to ensure the effective operation of the Compliance Management System enterprise-wide. Collect and organize relevant regulatory ag...

7 days ago seen See more...

Senior Compliance Officer - Broker Dealer

Victory Capital

San Antonio, TX

Senior Compliance Officer - Broker-DealerVictory Capital |San Antonio, TXAbout Victory Capital:General Summary and Purpose:Victory Capital Services, Inc. (VCS) is an introducing broker-dealer with multiple lines of business, in...

7 days ago seen See more...

Senior Compliance Officer - Remote

Accelerated Debt Solutions

Remote

$70,000 - $100,000 a year

Supervise all the business processes that involve compliance and regulations. Take timely actions to ensure compliance, both with national/local laws and internal policies of the company. Make reports and documentation on potentia...

7 days ago seen See more...

Senior Compliance Officer

Bank Of Montreal

Chicago, IL

Provides advice and guidance to assigned business/group on implementation of solutions aligned to regulatory risk appetite based on an understanding of business operations and stakeholder needs. Consults on new products, services...

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VP, Senior Compliance Officer

Ultimus Fund Solutions

Cincinnati, OH

Conducts the trust's annual compliance program review, reports the findings, proposes procedural changes to management, and ensures any changes are implemented in a timely fashion. Identifies and corrects deficiencies in complianc...

2 weeks ago seen See more...

Senior Compliance Officer

Sutton Bank

Columbus, OH

Directs and supervises Compliance staff responsible for a wide range of Compliance activities spanning the support of nationwide third party-managed payment card programs, community banking, and monitoring and testing. Effectively...

2 weeks ago seen See more...

Senior Compliance Officer

Woori America Bank

New York, NY

$80,000 - $120,000 a year

401(k). Dental insurance. Employee discount. Health insurance. Life insurance. Paid time off. Referral program. Relocation assistance. Vision insurance. Monday to Friday. Will you, now or in the future, require sponsorship for emp...

3 weeks ago seen See more...

Vice President for Administration and Corporate Compliance Officer New

Liberty Resources

Remote

$125,000 - $180,000 a year

Develop and implement a comprehensive quality strategy aligned with the organization's goals and objectives. This includes defining quality standards, policies, and procedures to ensure products or services meet or exceed customer...

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Senior Compliance Officer

Summa Health

Akron, OH

$37.03 - $55.55 an hour

This position will be responsible for collaborating with Internal Audit and other departments to monitor systems and processes in place to promote compliance with laws, regulations, and policies and procedures, including the Code...

a month ago seen See more...

Senior Manager, SOX Compliance New

Vera Therapeutics

Brisbane, CA

$145,000 - $190,000 a year

Manage the SOX project plan, to ensure efficient and timely execution of all stages of the SOX program. Lead the preparation and review of SOX-related documents such as risk assessments, process flow-charts, test of key controls a...

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Senior Audit Manager - Wealth Management, Capital Markets and Commercial Compliance New

U.s. Bank National Association

Charlotte, NC

$145,180 - $187,880 a year

Wealth Management laws and regulations (e.g., Broker Dealer, Trust Services, Wealth Management, Securities and Exchange Commission (SEC) Regulations, Financial Industry Regulatory Authority (FINRA) Regulations, 12CFR9 Regulation,...

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Federal Income Tax Compliance Analyst / Senior Analyst / Tax Advisor New

Exxonmobil

Spring, TX

$73.5K - $93K a year

Analyze and calculate tax adjustments and prepare related documentation Prepare and timely file returns, estimated payments, extensions, etc. Partner with Controllers and other functions on US tax provision activities Communicate...

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Compliance and Ethics Officer, AME New

Konecranes

Houston, TX

$104K - $131K a year

Master of Laws or other suitable university degree. On-the-job experience will be considered. Approximately ten years prior work experience, with minimum of five years experience of compliance work in a similar position. Strong k...

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Senior Major Gifts Officer, New York Metro Area New

Center For Reproductive Rights

New York, NY

$170,000 a year

Develop and manage a portfolio of 150+ donors and prospects, including individuals and family foundations. Create individual goals for each donor based on the donor's giving history and knowledge of the donor's potential. Create i...

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Senior Regulatory Compliance Analyst - Mental Health Parity (Remote) New

Carefirst Bluecross Blueshield

Baltimore, MD

$64,800 - $128,700 a year

Relationship Management: (Internal/External) Liaison with Regulatory Agency Investigators (Maryland Insurance Administration {MIA}, Virginia Bureau of Insurance {VBOI} and the District Insurance, Security and Banking {DISB}, organ...

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Compliance/Office Admin New

Westmed Llc

Carmel, IN

$18 - $20 an hour

Checking inventory regularly and ordering new supplies from vendors. Onboarding new employees and keeping employee files up to date. Leading compliance and insurance revalidation's. Maintaining companies policies and procedures. S...

5 hours ago seen See more...

Senior Compliance Sanctions Officer (SVP) - Securities Services

Citi

New York, NY

$176,720 - $265,080 a year

Responsible for providing sanctions guidance globally to Citi's businesses that transact in securities and securities based financial instruments. Provide sanctions oversight of in business controls and review in-flight and propos...

3 weeks ago seen See more...

Senior Compliance Testing Associate

Capital One

Plano, TX

Under the leadership of a team leader, executing targeted transaction testing for consumer compliance requirements Managing testing schedules to ensure all tasks and reporting are completed within established timeframes Analyzing...

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Senior Compliance Advisor

Omni Financial Of Nevada, Inc.

Remote

$60,000 - $85,000 a year

At least 5 years of acquiring and maintaining state lending licenses experience. consumer financial lending law and regulation: 5 years (Required)....

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Senior Operations Assistant (San Diego office) New

Wawanesa Insurance

San Diego, CA

$19.05 - $25.78 an hour

The pay range for this position is $19.05 - $25.78 per hour, depending on experience. Meet business productivity standards and goals on a consistent basis. Support workflow by managing policy documents, inclusive of gathering, rou...

5 hours ago seen See more...

Seniors Helping Seniors is hiring an Office Manager! New

Seniors Helping Seniors

Ormond Beach, FL

$22 an hour

Consistently demonstrate patience, empathy, reliability, professionalism, and cheerful disposition. Willingness to work harmoniously with staff, clients, and clients family. Strong verbal and written communication skills, detail-...

5 hours ago seen See more...

SENIOR CODE COMPLIANCE OFFICER - PUBLIC SAFETY

City Of La Quinta, Ca

La Quinta, CA

You enjoy interacting with people. You can effectively problem-solve and implement solutions. You are detail-oriented and organized. You are a self-starter who enjoys working independently and as part of a team. Conducts code comp...

4 weeks ago seen See more...

Legal Senior Counsel - Risk & Compliance New

A Car Factory In Ellabell, Georgia

Ellabell, GA

Advise company on various compliance matters, including adherence to various laws and company policies. Independently develop compliance policies, procedures, processes and systems. Conduct compliance risk assessments and oversee...

15 hours ago seen See more...

Senior License Compliance Investigator - REMOTE New

Ansys

Blacksburg, VA

$77.3K - $97.9K a year

Data analysis will be a daily activity for the SLC. Bringing data together from a variety of sources, the SLC should be a highly organized, detail-oriented individual who works well independently or as a global team player to get...

15 hours ago seen See more...

Senior Teller - Mansfield Marion Avenue Office New

Park National Bank

Mansfield, OH

$31.6K - $40K a year

Serve customers, prospective customers and bank associates promptly and professionally and in full accordance with Park Promises and Serving More standards. Execute and safeguard all teller, security and cash-related branch operat...

16 hours ago seen See more...

Senior Cybersecurity and Compliance Consultant New

Bdo Usa

Chicago, IL

Participates in engagements for PCI, data security, compliance and governance frameworks, security vendor assessments and IT controls assessments. Conducts and assesses compliance and governance requirements based on standard prog...

24 hours ago seen See more...

Senior Director - Global Environmental Compliance

Gsk

Olin, NC

Integrates Environmental Compliance into the corporate EHS strategy and leads compliance efforts to positively impact business performance, maintaining our EHS license to operate; in compliance with GSK EHS standards and local leg...

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Senior Manager - Ethics and Compliance

Ncr Atleos

Atlanta, GA

Business Conduct and Ethics, and. Conflicts of Interest. Lead the company's ethics reporting and investigation programs. Promote an ethical corporate environment through training and leading process/policy enhancements, creating p...

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What are the top cities open Senior Compliance Officer jobs?

There are open Senior Compliance Officer jobs in several cities including New York, Washington, Chicago, San Francisco, San Antonio, Milwaukee, Los Angeles, Las Vegas, Fort Worth, Des Moines, New Brunswick, Santa Ana, Sewell, Berwyn, San Diego,

What companies are hiring for Senior Compliance Officer jobs?

The top companies hiring now for Senior Compliance Officer jobs are Arizona Department Of Education, Canaccord Genuity LLC, Ericsson, First Citizens Bank, Global Credit Union, MedLance, The Amherst Group Llc, Western Alliance Bancorporation,

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