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163 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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Compliance Officer Needed Urgent

Price Personnel Ltd London, England

• To become aware of all individual contractual compliance requirements and to assist in implementing procedures to account for these • Escalate… Reed.co.uk

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Officer/Analyst

Job-Astro Consultants Mumbai

To provide Trade related Services to Customers and to meet turnaround times as per the Service Level Agreement productivity standards Responsible for… Glassdoor

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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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Compliance Officer - CF10a - CASS - Manchester- £45K

Robert Walters 66 Reviews Greater Manchester

within the Control Functions, Statements of Principle and General Principles of Approved Persons * CASS Apportionment & Oversight (CF10A) Knowledge… Reed.co.uk

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Compliance Monitoring Officer – new

Brighthouse 100+ Reviews Watford, East of England, England

Role Title: Compliance Monitoring Officer Reports To: Compliance Monitoring Manager Salary: Competitive Department: Compliance Location: South East… Adzuna

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Part time Compliance Officer – new

Barclay Simpson East Midlands

Part time Compliance Officer Location: East Midlands Salary: 45,000 pro rata bens Job type: Permanent Job reference: AMS/67330a My client, a retail… Adzuna

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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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O&T - SR Risk Control Officer

Singapore

] - Manage internal, external, regulatory and other audits end-to-end, providing proper perspective on risks and issues. - Independently assess the… RegionUP

Surveillance Officer

Majestic Star Casino 4 Reviews Gary, IN

Essential Functions: The Surveillance Officer is responsible for observing, monitoring and recording all activity occurring in the casino area and… Majestic Star Casino

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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 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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