3436 compliance officer jobs found

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Position Overview PIMCO is seeking a seasoned...

The Compliance Anti Money Laundering Risk Management Officer is a senior professional level role responsible for establishing internal procedures to prevent money laundering and assist in all matters concerning financial crimes in coordination with the broader Anti-Money Laundering (AML) team. The overall objective is to utilize established disciplinary knowledge to identify inconsistencies in data or result and formulate strategic recommendations on policies, procedures, and practices. Responsibilities: Experience with the Data Analytics tools and methodologies and ability to apply this knowledge on a large transactional and client data sets Self-starter and independent thinker who is able to critically assess multiple data issues, identify the root causes and come up with the resolution Working knowledge of database mining, analytics tools and techniques - SQL, Python, Big Data platform (Hadoop) and similar technologies Collaborate with the team to provide advice to...

Axos Bank Target Range: $100,000.00/Yr. - $120,000.00/Yr. Actual starting pay will vary based on factors including, but not limited to, geographic location, experience, skills, specialty, and education. Eligible for an Annual Discretionary Cash Bonus Target: 10% Eligible for an Annual Discretionary Restricted Stock Units Bonus Target: 10% These discretionary target bonuses may be awarded semi-annually based upon your achievement of performance goals and targets. About This Job As Vice President (VP) Compliance Officer at Axos Bank, you will be responsible for ensuring that our operations comply with all regulatory requirements and internal policies. You will develop compliance programs and procedures to ensure bank products & services comply with federal and state laws and regulations and identify potential areas of compliance vulnerability and risk. You will also develop corrective action plans for resolution of problematic issues and provide general guidance on how...

Founded in 1992, Cerberus is a global leader in alternative investing with approximately $65 billion in assets across complementary credit, private equity, and real estate strategies. We invest across the capital structure where our integrated investment platforms and proprietary operating capabilities create an edge to improve performance and drive long-term value. Our tenured teams have experience working collaboratively across asset classes, sectors, and geographies to seek strong risk-adjusted returns for our investors. For more information about our people and platforms, visit us at www.cerberus.com . Job Purpose: Cerberus is seeking an analytical and collaborative attorney who is interested in serving as a compliance officer and associate general counsel. This individual will play a pivotal and diverse role in safeguarding our organization and its investments against financial crimes and ensuring adherence to ethical standards. The role will involve participation in all...

Job Description Job Title: Fixed Income Compliance Officer Level: Vice President Reporting to: US Head of Fixed Income Compliance Job Description : The Fixed Income Compliance Officer serves as key function/business/product compliance advisor within the Fixed Income Compliance Advisory Group with primary coverage of U.S. Rates. Responsibilities: This position is based in New York City in the Fixed Income Compliance Advisory Group and will be primarily responsible for the following: Providing regulatory and compliance advice to business partners about complex sales and trading issues, with a focus on U.S. Rates activities, including Primary Dealer / Treasuries, Repo, GSE/Agencies, and fixed income futures. Serve as a subject matter expert on products, regulatory reporting, and broker-dealer operations by maintaining proficient knowledge of applicable functions. Working with business partners (i.e., Surveillance, IT, Operations etc.) to develop and enhance...

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Role Overview PIMCO is seeking a dynamic...

At Customers Bank, we believe in working hard, working smart, working together to deliver memorable customer experiences and having fun. Our vision, mission, and values guide us along our path to achieve excellence. Passion, attitude, creativity, integrity, alignment, and execution are cornerstones of our behaviors. They define who we are as an organization and as individuals. Everyone is encouraged to have personal development plans. By doing so, our team members are on their way to achieve their highest potential and be successful in their personal and professional lives. Work Location: Hybrid in Malvern, PA, coming into the office at least 3-days per week with Monday, Tuesday, and Thursday being the set in-office days. All subject to change. Must be legally eligible to work in the United States with out sponsorship, now or future. Salary range: An annual salary range of [Enter Range] is what we expect to pay for this position, based on overall skills and experience. Must...

This individual will join the AML Risk Insights and Strategic Control Enhancements team and support the Strategic Control Enhancements function. The successful candidate will be a strategic professional who stays abreast of industry trends and developments within AML and contributes to the program directional strategy by considering their application in tasks owned and the objective of initiatives being supported. They will have a good understanding of an AML Program, general controls and processes that work to manage and mitigate AML risk. They will possess communication and diplomacy skills which are required in order to guide, influence and convince others, in particular colleagues across AML, ICRM, and Stakeholders within the first line. The individual will have experience supporting complex deliverables that have significant impact. Responsibilities: Develop and design documents such as procedures, methodology documentation, and presentations that support the various team...

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Position Overview The Vice President will be a...

Senior Vice President, Consumer Compliance Officer - Treasury Services . 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, Consumer Compliance Officer - Treasury Services . to join our Risk & Compliance team. This role is located In Pittsburgh, PA or Lake Mary, FL - HYBRID In this role, you'll make an impact in the...

Position Description: Corporate Compliance is seeking a dedicated and knowledgeable Senior Compliance Officer (SCO) to oversee compliance activities related to ensuring firmwide compliance with regulatory obligations regarding financial risk (credit risk, interest rate risk, liquidity risk, trading risk) and non-financial risk (compliance risk, model risk, operational risk, technology risk, resiliency, data and third party) globally, including responsibility for conducting compliance assurance activities of applicable law, rules, regulatory guidance, and internal policy requirements. As a leader within the second line of defense, the SCO for Independent Risk Management (IRM) will work with a global team, cross functionally, to support IRM leaders in monitoring and keeping pace with regulatory obligations, develop risk frameworks, policies, standards, and procedures in alignment with applicable regulatory obligations and the firm's enterprise Compliance Risk Management Program....

Job Description: J ob Title Investment Bank Compliance Officer - Origination & Advisory Corporate Title Vice President Location New York, NY Overview You will focus on providing real-time support to the Origination & Advisory business which focuses on investment banking advisory engagements and capital markets products and services, including origination, structuring, execution and syndication of securities offerings. This will involve advising on issues (questions, problems or proposals) related to confidential information and information barriers, communications with the public-side of the Firm. External public-side investors, underwriting, marketing and selling securities offerings, internal controls, supervision and other issues that are typical for a large global investment bank. What We Offer You A diverse and inclusive environment that embraces change, innovation, and collaboration Generous vacation, personal and volunteer days Employee...

Business Overview: The Global Banking Regulations ("GBR") group is a Compliance global team covering Structural Banking Reform (CFTC Swap Dealer, SEC Security-Based Swap Dealer, French Banking Law, and Volcker Rule). With respect to the CFTC Swap Dealer and the SEC Security-Based Swap Dealer requirements, GBR's key missions are to: Organize and contribute to supervise the compliance program for Swap Dealer rules, both within the registered perimeter and for unregistered entities; Monitor, analyze and advise on the implementation of proposed and final rules promulgated by the CFTC, SEC and NFA on swaps and security-based swaps; Oversee the Volcker Rule and French Banking Law compliance program in the Americas region. Report and escalate to senior management; regulatory developments, progress on regulatory initiatives, issues, violations or other matters of interest. Candidate SuccessFactors: Candidates are measured on the following four performance drivers, which will...

Job Description: Job Title Compliance Officer - Investment Bank Compliance - Origination & Advisory Corporate Title Vice President Location New York, NY Overview You will focus on providing real-time support to the Origination & Advisory business which focuses on investment banking advisory engagements and capital markets products and services, including origination, structuring, execution and syndication of securities offerings. This will involve advising on issues (questions, problems or proposals) related to confidential information and information barriers, communications with the public-side of the Firm. External public-side investors, underwriting, marketing and selling securities offerings, internal controls, supervision and other issues that are typical for a large global investment bank. What We Offer You A diverse and inclusive environment that embraces change, innovation, and collaboration A hybrid working model, allowing for in-office /...

Do you want your voice heard and your actions to count? Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across the globe, we're 120,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world. With a vision to be the world's most trusted financial group, it's part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career. Join MUFG, where being inspired is expected and making a meaningful impact is rewarded. The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more...

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Overview PIMCO is seeking a Compliance Officer...

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Overview As a key member within PIMCO's...

A Day in the Life We are seeking an exceptional, energetic and proactive compliance professional with a passion to promote a strong culture of compliance to join our team. In this role you will help further develop and operationalize Lendistry's cutting-edge compliance program. You will make strong partnerships throughout Lendistry to conceive and execute a strategy that ensures compliance while supporting innovation. Lendistry: Who We Are We're proud to be the nation's largest minority-led, tech-savvy lender for small businesses and commercial real estate. As a certified Community Development Financial Institution (CDFI) and Community Development Entity (CDE), our mission is all about creating economic opportunities and fueling growth for small business owners and their communities. Join us as we pave the way with innovative financing and financial education! What You'll Be Doing Develop, implement and oversee aspects of Lendistry's regulatory compliance program:...

The Mortgage Originations ICRM Product Compliance Officer supporting the Mortgage Processing functional will be responsible for assisting with 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 the function/business/product and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the support of Mortgage Processing and guidance on Mortgage processing on rules/laws and interpretation on internal policies and procedures Responsibilities: Assisting in the design, development, delivery and maintenance...

Our Purpose Mastercard powers economies and empowers people in 200+ countries and territories worldwide. Together with our customers, we're helping build a sustainable economy where everyone can prosper. We support a wide range of digital payments choices, making transactions secure, simple, smart and accessible. Our technology and innovation, partnerships and networks combine to deliver a unique set of products and services that help people, businesses and governments realize their greatest potential. Title and Summary VP, Legal Compliance, Bank Secrecy Act Officer Overview MTS US is the authorised and regulated entity within Mastercard Transaction Services (MTS) through which regulated payments activity is undertaken for our US based Customers and others around the world. MTS is a division within Mastercard that undertakes payments business wherever a Product or Business function requires regulated support. MTS is looking for a Bank Secrecy Act (BSA) Officer to drive our...