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192 Internal Control, Regulatory and Compliance Officer Jobs

Regulatory Risk Testing Officer

Popular Community Bank New York, NY

• Analyze banking regulations and prepare practical review steps to test compliance with said regulations within the banks operations in an effective… Popular Community Bank

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Chief AML Compliance Officer

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 compliant… Reed.co.uk

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Regulatory Risk Testing Officer

Popular Community Bank 27 Reviews New York, NY

• Analyze banking regulations and prepare practical review steps to test compliance with said regulations within the banks operations in an effective… Popular Community Bank

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Assistant Compliance Officer

Alexander Lloyd Saint Albans, England

Reporting to the Compliance and Risk Manager/Head of Compliance, you will provide compliance assistance to support and contribute to the provision of… 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 proper… Glassdoor

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Compliance Control Officer, Brussels (M/F) – new

Petit Bruxelles

• To participate in the parameterization of the Compliance system Sentinel (coding of Legal, Statutory, Contractual and Internal rules).… feed.stepstone.be

Compliance officer

Aston Carter 14 Reviews Dublin

Another key responsibility will be the provision of compliance support to the funds authorised compliance director based out in Luxembourg and… Jobg8

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Compliance Officer

Asset Resourcing 4 Reviews Saint Albans, Hertfordshire

*Provide training to the business to compliment and develop on the CBT. *Analyse… Jobg8

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VP-Risk & Control

Broadridge Financial Solutions, Inc. 100+ Reviews New Jersey

The Vice President – Risk & Control - Process Management manages and develops a comprehensive process for risk management and risk mitigation… Broadridge Financial Solutions, Inc.

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Compliance Officer ICG Testing

Citi 100+ Reviews Jersey City, NJ

Compliance Testing (CT) is responsible for the execution of reviews of the Institutional Client Group (ICG), Citi Personal Wealth Management (CPWM… Citi

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Regulatory and Compliance Officer

Leading Financial Services Firm Melbourne, NA

Working for a growing Trustee which offers a broad range of products including portfolio management, managed funds, superannuation, aged care… Ivy Exec

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AVP- Banking Regulatory Compliance Officer – new

HSBC Canada 100+ Reviews North America-United States-New Jersey-Jersey City

Performs periodic testing reviews of the compliance control framework as directed by Compliance Testing & Control (CTAC) management. Assures… Glassdoor

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Surveillance Officer – new

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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Compliance Manager

E Trade 100+ Reviews Arlington, VA

Manage the ongoing maintenance of compliance policies, standards and procedures. Provide Fair Lending and UDAAP consultation and guidance to… Ivy Exec

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

Robert Walters 64 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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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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