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156 internal control regulatory and compliance officer jobs

Wealth and Investment Management Compliance

The Compliance Search Group New York, NY

• Perform comprehensive analysis of sales practice, suitability and product (e.g. listed options, mutual funds, ETFs, structured products… TheLadders.com

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Chief AML Compliance Officer – new

Scottrade 100+ Reviews Saint Louis, MO

• Administer the enterprise BSA/AML/OFAC compliance programs. • Oversee that all areas/departments of Scottrade Financial and its subsidiaries… Scottrade

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Control & Compliance Officer

Huntswood 3 Reviews Basingstoke, England

will be to: • Monitor compliance regulations and update internal policies • Contribute to the development and maintenance of the compliance… Reed.co.uk

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Compliance Monitoring Officer – new

Brighthouse 100+ Reviews Abbots Langley, England

The role will be responsible for carrying out risk-based monitoring reviews, both routine and themed, to assess the extent to which line management… Reed.co.uk

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Senior Compliance Officer – new

Winton Capital 3 Reviews London, NA

To help conduct and document the monitoring and testing of reviews of internal compliance processes, ensuring adherence to regulations and internal… Ivy Exec

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Compliance officer

Leading Financial Services Firm Dublin, NA

My client is searching for a Compliance Officer to join its growing business. Reporting to the Head of Compliance, the position will see you provide… Ivy Exec

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Regulatory Risk Testing Officer

Popular Community Bank 31 Reviews New York, NY

This position is responsible for performing compliance reviews of policies, procedures, and internal controls developed for ensuring compliance with… Popular Community Bank

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Actuarial Compliance Officer – new

Eames Consulting Group LLP London, England

The successful candidate will join the Corporate Actuarial team based in London (European Headquarters) and will support Property Casualty Corporate… Reed.co.uk

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Quality Assurance (Executive / Officer)

Job-Astro Consultants Baddi

-Looking after all the activities of the entire plant and proper supervision of each and every section to follow the standards of WHO-GMP.-Keep… Glassdoor

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Compliance Officer – new

Communicate Midrand Finance Durban

Performing compliance monitoring on sites based on legislation, licence conditions and internal controls Completion of detailed working papers and… Glassdoor

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EXECUTIVE DIRECTOR, COMPLIANCE

CalOptima 10 Reviews Orange, CA

The Executive Director of Compliance is responsible for all internal compliance and auditing activities including conducting regular internal audits… CareerBuilder

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Electronic Communications Compliance Officer Monitoring, Surveillance - Finance

UBS 100+ Reviews London, England

• Conduct and document monitoring reviews to assess compliance with and adherence to regulations and internal e-communication policies. Follow… VelvetJobs.com

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Compliance Review Officer - Finance and Investment Industry Opportunity

Credit Suisse 100+ Reviews New York, NY

Manage and lead Compliance reviews cross divisional. This will include: Scoping reviews; Conducting interviews with Business; Performing testing… VelvetJobs.com

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Senior Risk Officer II

PNC 100+ Reviews Pittsburgh, PA

• Senior Risk Officer, Compliance Program Manager, Model Risk Management Group (MRMG) • The incumbent of this position reports to the Director of… CareerBuilder

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Chief Operating Officer

Sterling Life Sciences Southern California, CA

include: 1) Oversee general financial of the company 2) Strategically plan, prepare and implement annual budgets 3) Ensure that the company… Sterling Life Sciences

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Assistant Compliance Officer- 30-40k

Alexander Lloyd Compliance & Financial Services Saint Albans, England

My client, a leading third party administrator operating within investments, protection and wealth management, has an opportunity for an Assistant… Adzuna

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Chief Financial Officer CFO

Allegheny Bradford Corporation Lewis Run, PA

• Coordinate the preparation of financial statements, financial reports, special analyses, and information reports • Ensure that effective… TheLadders.com

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