4573 compliance jobs found

Job Description Welcome to an exciting opportunity at JPMorganChase where innovation meets strategic leadership. As a Vice President in our Risk Management and Compliance (RM&C) Portfolio Management & Data Insights team, you'll play a crucial role in shaping the future of our technology investments. We're looking for a dynamic leader who can align our technology strategies with our ambitious goals and drive exceptional returns on investment. If you're passionate about technology and strategic planning, this is the place for you! As a Vice President in the dynamic Risk Management and Compliance (RM&C) Portfolio Management & Data Insights team at JPMorgan Chase, you'll be at the forefront of anticipating and managing new risks. Your role will involve strategic planning, problem-solving, and collaboration with senior leaders across various departments. You'll oversee RM&C's substantial technology budget, monitor investment progress, and promote governance on...

Job Description Purpose of the role To design, develop and improve software, utilising various engineering methodologies, that provides business, platform, and technology capabilities for our customers and colleagues. Accountabilities Development and delivery of high-quality software solutions by using industry aligned programming languages, frameworks, and tools. Ensuring that code is scalable, maintainable, and optimized for performance. Cross-functional collaboration with product managers, designers, and other engineers to define software requirements, devise solution strategies, and ensure seamless integration and alignment with business objectives. Collaboration with peers, participate in code reviews, and promote a culture of code quality and knowledge sharing. Stay informed of industry technology trends and innovations and actively contribute to the organization's technology communities to foster a culture of technical excellence and growth. Adherence to...

Senior Vice President, Tax Reporting and Compliance At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world's financial system we touch nearly 20% of the world's investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table to create solutions with our clients that benefit businesses, communities and people everywhere. We continue to be a leader in the industry, awarded as a top home for innovators and for creating an inclusive workplace. Through our unique ideas and talents, together we help make money work for the world. This is what #LifeAtBNY is all about. We're seeking a future team member for the role of Senior Vice President, Tax Reporting and Compliance to join our Tax team. This role is located in Lake Mary, FL - HYBRID. In this role, you'll make an impact in the following ways: Performs calculations for the most specialized and/or...

We're looking for a high-impact Director/VP of Compliance Operations to lead from the front and take full ownership of our daily compliance operations. If you're energized by fast-moving environments, thrive under pressure, and are looking to have an outsized influence on one of the fastest-growing payment companies globally, this role is for you. You'll be the engine behind our compliance operations-leading cross-functional projects that make the entire compliance program smarter, faster, and more resilient, while personally jumping in when and where needed to keep things moving. This role is ideal for someone with deep experience in compliance operations, a strong understanding of banking and payments infrastructure, and the ability to bridge the gap between compliance, operations, product, and engineering. You will act as a strategic thought partner to the Chief Legal & Compliance Officer, while rolling up your sleeves to get things done. Key Responsibilities...

Job Description Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class. As a Program/Project Manager (Product Manager) Vice President within the Compliance, Conduct and Operational Risk (CCOR) organization supporting the Integrated Case Management (ICM) Product Office, you will play a crucial role in aligning the business needs of compliance professionals with technological case management solutions enabling them to execute workflows designed to safeguard our firm and its customers. In this senior position, you will help lead...

Summary of Position Lionsgate has an immediate opening for a Senior Vice President to lead the Company's Contract Compliance & Third Party Audit department. The successful candidate will be responsible for the management of compliance examinations of Lionsgate's contracts with outside parties as well as third party participation audits of Lionsgate's distribution of films and television series brought by Producers, Directors, and Talent. Responsibilities Oversee contract compliance for Lionsgate's distribution of films and television series focusing on adherence to terms, quality standards, timelines, and budgets Set the strategic direction for audits and lead business development efforts, making impactful decisions and overseeing multiple projects while maintaining executive-level client relations Lead and manage the Third-Party Audit team, ensuring process quality is maintained Identify and reduce compliance risks by reviewing and interpreting contract...

Company Description NBCUniversal is one of the world's leading media and entertainment companies. We create world-class content, which we distribute across our portfolio of film, television, and streaming, and bring to life through our theme parks and consumer experiences. We own and operate leading entertainment and news brands, including NBC, NBC News, MSNBC, CNBC, NBC Sports, Telemundo, NBC Local Stations, Bravo, USA Network, and Peacock, our premium ad-supported streaming service. We produce and distribute premier filmed entertainment and programming through Universal Filmed Entertainment Group and Universal Studio Group, and have world-renowned theme parks and attractions through Universal Destinations & Experiences. NBCUniversal is a subsidiary of Comcast Corporation. Our impact is rooted in improving the communities where our employees, customers, and audiences live and work. We have a rich tradition of giving back and ensuring our employees have the opportunity to...

Job Details Level Senior Job Location Rigaku Americas Holding - The Woodlands, TX Position Type Full Time Job Shift Day Job Category Legal Description Since its inception in 1951, Rigaku has been at the forefront of analytical and industrial instrumentation technology. Today, with hundreds of major innovations to their credit, the Rigaku group of companies are world leaders in the fields of general X-ray diffraction, thin film analysis, X-ray fluorescence spectrometry, small angle X-ray scattering, protein and small molecule X-ray crystallography, Raman spectroscopy, X-ray optics, semiconductor metrology, X-ray sources, computed tomography, nondestructive testing, and thermal analysis. Job Summary: The Vice President of Compliance and Legal plays a critical role in providing strategic legal guidance and ensuring oversight across various areas of corporate governance, compliance with legal and ethical obligations, risk management, and business operations across...

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture. Responsibilities: - Assist in the development and maintenance of the annual technology testing plan. - Manage a team of technology risk testing personnel; monitor capacity and distribute work assignments to ensure timely delivery of assigned...

Full Time Vice President of Compliance - Remote (US) Employment Type: Full-time, salaried, exempt Compensation: TBA Job Location: Remote (US) Job Highlights: Work-Life Balance: Monday to Friday schedule for a fulfilling personal and professional life. Competitive Compensation: Be rewarded with a generous salary and benefits package. Career Growth Opportunities: Unlock your potential and advance in your career with our support. Supportive Work Environment: Join a team that values and appreciates your contributions. Comprehensive Training: Enhance your skills and knowledge through our extensive training programs. Compliance and Peace of Mind: Work with confidence knowing that we prioritize compliance with employment laws and regulations. Paid Time Off and Holidays: Enjoy well-deserved time off to relax and recharge. Life Insurance Coverage: Protect your loved ones with our employer-paid life insurance policy. Collaborative Team Environment: Thrive...

Job Description Purpose of the role To provide data-led expert oversight and check and challenge on business and compliance matters to evidence that the organisation is operating in a compliance with Barclays legal, regulatory and ethical responsibilities. Accountabilities Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems to. Identification and investigation of potential market abuse, including but not limited to, Insider Dealing, Unlawful Disclosure, Market Manipulation or Anti-Competitive Conduct. Conduct investigation of compliance risk events or breaches. Oversight and check and challenge of corrective actions and preventative measures to avoid future occurrences. Implementation of compliance policies and procedures in line with regulatory requirements and ensuring that the bank's internal policies are aligned with international standards, including jurisdictional...

Thanks for your interest in Children's Mercy! Do you envision finding a meaningful role with an inclusive and compassionate team? At Children's Mercy, we believe in making a difference in the lives of all children and shining a light of hope to the patients and families we serve. Our employees make the difference, which is why we have been recognized by U.S. News & World Report as a top pediatric hospital, for eleven consecutive years. Children's Mercy is in the heart of Kansas City - a metro abounding in cultural experiences, vibrant communities and thriving businesses. This is where our patients and families live, work and play. This is a community that has embraced our hospital and we strive to say thanks by giving back. As a leader in children's health, we engage in meaningful programs and partnerships throughout the region so that we can improve the lives of children beyond the walls of our hospital. Overview To provide strategic leadership, direction and...

Citi's Internal Audit (IA) division provides independent assessments of the company's governance, risk management and internal control environment for key stakeholders including the Board of Directors, senior management and Citi's numerous regulators globally. IA is a change agent within Citi to enhance the control culture of Citigroup worldwide and thereby support senior management decision making around the globe. IA maintains a Quality Assurance (QA) function that reports to the Chief Auditor Quality Assurance and the Group Audit Committee. The QA function provides independent assurance that IA has achieved and is maintaining appropriate standards of internal audit delivery (set against both IA's own internal standards and the Standards and Code of Ethics of the Institute of Internal Auditors). This role in the Quality Assurance function focused on the activities of the Legal, Compliance and Risk internal audit team involves close liaison with the global audit teams to ensure...

Citi's Internal Audit (IA) division provides independent assessments of the company's governance, risk management and internal control environment for key stakeholders including the Board of Directors, senior management and Citi's numerous regulators globally. IA is a change agent within Citi to enhance the control culture of Citigroup worldwide and thereby support senior management decision making around the globe. IA maintains a Quality Assurance (QA) function that reports to the Chief Auditor Quality Assurance and the Group Audit Committee. The QA function provides independent assurance that IA has achieved and is maintaining appropriate standards of internal audit delivery (set against both IA's own internal standards and the Standards and Code of Ethics of the Institute of Internal Auditors). This role in the Quality Assurance function focused on the activities of the Legal, Compliance and Risk internal audit team involves close liaison with the global audit teams to ensure...

Serves as a senior compliance risk officer for US Personal Banking Operations - Customer Service - Branded Cards Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise. In addition, engages with the ICRM product and function coverage teams, in order to partner to develop and apply CRM program solutions that meet business and customer needs in a manner consistent with the Citi program framework. Customer Service responds to customer inquiries and requests which may involve account maintenance, fraud concerns, completing sales offers, credit line increases, customer disputes, privacy related requests (Opt-outs), Military Service Notifications, and other matters raised by existing and potential customers. These...

About this role Summary: We are seeking a highly motivated professional to serve as a member of BlackRock's 1940 Act Registered Fund Compliance team, focusing on multiple product lines including mutual funds, closed-end funds and ETFs. The role will support both index and actively managed products. This individual will be able to effectively manage compliance risk and help ensure compliance with regulatory requirements and applicable BlackRock policies and procedures relating to 1940 Act products. The individual will provide compliance support to key partners including product development, business operations and portfolio management. The successful candidate will also participate in special projects and strategic initiatives. Candidates should be able to work effectively within a team environment, but also be self-directed and able to work autonomously. Responsibilities would include, but not be limited to: Assist in development of compliance program for 1940 Act funds,...

LPL Financial seeks an experienced attorney to join its corporate legal advice team as Senior Vice President, Associate General Counsel - Broker-Dealer Regulatory Compliance. This SVP will report to the Executive Vice President responsible for providing strategic legal advice to various business units. This team focuses primarily on the LPL's broker-dealer and custodial platform business but also provides support to the investment advisory business. This position entails advising LPL's senior leadership within Compliance Supervision and Risk as well as its Business Development (recruiting) and Corporate Development (M&A) regarding regulatory compliance with said activities. The position will also cover counseling the firm's Product Review group with due diligence requirements, sales practices and controls around alternative investments. The ideal candidate is one who can thrive in a fast-paced business environment and can manage a substantial docket autonomously. A qualified...

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's operating...

Ranked one of Tennessee's top places to work, MHC is a rare and special place where outstanding company culture is intentional. Where clients and associates are treated the same, as equals. Mental Health Cooperative, Inc. (MHC) was formed in 1993 to serve individuals with severe and persistent mental illness. Since then, we have expanded our services to children and adolescents with severe emotional disorders across Middle and East Tennessee. Our sole purpose is to support and treat those challenged with serious mental illness and poverty. Although based out of Nashville, we serve several communities across middle and East Tennessee with satellite offices in Antioch, Gallatin, Dickson, Columbia, Cleveland, Murfreesboro, Clarksville, Cookeville, Chattanooga, and Memphis. If you are interested in joining a team that is caring, collaborative, innovative and energizing this might be a great place for you! Position Summary: The Vice President of Compliance manages quality, safety,...

Job Description: Vice President, Asset Class Lead -- Alternatives Compliance Team The Role Asset Management Compliance (AMC) works closely with Fidelity's investment teams cross all asset classes to ensure compliance with global regulations, investor requirements, and corporate policies in the interest of promoting customer trust and confidence in Fidelity. AMC is committed to driving Fidelity forward through business partnership and stewardship, platform modernization, and talent development. AMC associates are passionate about providing sound mentorship and creative solutions in a timely and responsive manner to support Asset Management in delivering the best customer experience in the financial services industry. Your responsibilities include: Actively participate in the development and support of an Alternatives compliance program and be the lead compliance subject matter expert for liquid alternatives Provide ongoing management of Alternatives compliance program as...