3388 compliance officer jobs found

Job Type Full-time Description Are you EPIC? Do you have the ability to demonstrate, understand and apply HFD's core purpose and values in all that you do? At HFD our core purpose is to help the underserved live healthier. To accomplish this mission, we must ensure that our team is aligned with our E.P.I.C. values: E xcellence: Always exceeding expectations! P assionate: Executing with boldness! I nnovative: Pioneering a better way! C ollaborative: Together we win! The EPIC Chief Compliance Officer we are looking for: We are seeking an experienced and highly organized Chief Compliance Officer (CCO) to oversee and manage the company's compliance and legal teams with to ensure the company meets all industry specific regulatory requirements and legal demands. The Chief Compliance Officer will oversee the development, implementation, and monitoring of policies and procedures to ensure that the organization adheres to relevant laws, regulations, and internal...

Who we are: Access TeleCare is the largest national provider of telemedicine technology and solutions to hospitals and health systems. The Access TeleCare technology platform, Telemed IQ, enables life-saving patient care through telemedicine and empowers healthcare organizations to build telemedicine programs in any clinical specialty. We provide healthcare teams with industry-leading solutions that drive improved clinical care, patient outcomes, and organizational health. We are proud to be the first provider of acute clinical telemedicine services to earn The Joint Commission's Gold Seal of Approval and has maintained that accreditation every year since inception. We love what we do and if you want to know more about our vision, mission and values go to accesstelecare.com to check us out. What you'll be responsible for: Reporting to the Chief Clinical Innovations Officer, the Senior Vice President, Compliance Officer (SVP) is responsible for leading Access TeleCare's...

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: Identify, vet and address potential risks or escalated issues with the assistance of functional partners Collaborate with the team to provide advice to business with respect to applicability of policies and implementation of AML program and regulatory changes Provide input/advice on business initiatives, new products, and complex transactions Supervise and participate in internal assurance processes such as Enterprise wide AML risk assessment, self-assessment, and internal...

Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment, and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. Within Empower and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them. Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself. The VP Chief Compliance Officer of Empower Advisory Group, LLC (EAG) leads an organization of Compliance professionals and oversees compliance activities for EAG and the Empower Personal Wealth business line. These responsibilities include both investment advisory compliance and broker-dealer compliance related to the activities of Empower...

Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment, and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. Within Empower and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them. Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself. The VP Compliance & CCO for Empower Capital Management, LLC (ECM) and Empower Funds, Inc. leads an organization of compliance professionals. The team oversees compliance activities for; Empower Funds, Inc., which is an open-end investment company offering more than forty mutual funds and individual funds across the spectrum of asset...

Job Description Senior Vice President, Senior Swap Dealer Compliance Officer Reporting to: Head of Swap Dealer Compliance Job Description : Serves as key function/business/product compliance advisor for the Compliance Department responsible for establishing internal strategies, policies, procedures, processes, and programs to comply with U.S. swaps and security-based swaps rules and regulation. Responsibilities: Advise and implement enhancements to the overall Jefferies U.S. Swap Dealer Compliance Program, including policies and procedures, training, issues management, governance and management reporting, metrics and assisting in the remediation of non-compliance matters. Work closely with internal stakeholders (business and corporate functions including Operations, Risk, Finance, etc.) on CFTC, NFA and SEC swap dealer issues. Advise the business and corporate functions on regulatory requirements, developments and expectations across the swap dealer regimes...

Job Description AML Compliance Officer - Wealth Management / Prime Brokerage The Compliance Anti Money Laundering Officer covering Wealth Management / Prime Brokerage 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 design and implement the AML risk management program for the Wealth Management and Prime Brokerage divisions and utilize in-depth specialty knowledge to identify issues/problems and devise recommendations for complex situations. Responsibilities: Develop and assist in the implementation of firm-wide AML risk management policy and strategic AML Compliance Risk Management direction as well as maintain the AML compliance program for the Wealth Management and Prime Brokerage divisions. Translate AML strategy and goals across Wealth Management and Prime...

The VP, AML Compliance Officer is responsible for oversight and the execution of Audit and Issues Management across AML functions. This position may also support AML Control Programs such as Records Management, Third Party Management, Cross Border, Data Privacy, and Managers Control Assessment (MCA). The VP, AML Compliance Officer will also assist to ensure policy compliance, management of operational risk, regulatory adherence, and the institution of best practices relating to Audit & Issue Management, and Management Control Assessment (MCA). The ideal candidate must be a strategic professional who advises on directional strategy by analyzing subject matter and its application in business. Responsibilities: Support all facets of the internal audit and external reviews by handling the flow of information to and from the auditors through a standardized and controlled methodology. Proactively collaborate with stakeholders to ensure audit and review readiness. Be an...

Join our team in a dynamic hybrid role, offering flexibility to work remotely and from our headquarters in Watertown, MA. COMPANY OVERVIEW: Disc Medicine is a clinical-stage biopharmaceutical company committed to discovering, developing, and commercializing novel treatments for patients who suffer from serious hematologic diseases. We are building a portfolio of innovative, first-in-class therapeutic candidates that aim to address a wide spectrum of hematologic diseases by targeting fundamental biological pathways of red blood cell biology, specifically heme biosynthesis and iron homeostasis. Disc Medicine values collaboration, professional development, and scientific integrity and promotes an inclusive company culture that empowers and inspires. POSITION OVERVIEW : Disc Medicine is seeking a dynamic and strategic leader to join our organization as Vice President, Legal and Chief Compliance Officer. Reporting directly to the General Counsel, this individual will serve as a...

Job Title VP - Tax Compliance Officer Job Description Working at Rabobank provides growth opportunities and a positive work environment. In this role the VP should enjoy and thrive working in a collaborative environment. This key role is responsible for a broad range of tax disciplines focused on the US branch operations of a Netherlands bank including tax provision, international tax, state and local tax, indirect tax and transfer pricing. Our Shared Future: "The VP of Tax enjoys the team spirit and the learning opportunities available when working as part of a smaller team." You and Your Job As the VP of Tax you will be successful in applying the ever changing tax law to your roles and responsibilities. The Vice President will report directly to the Executive Director who reports directly to the Managing Director, Head of NA Tax. As Vice President of Tax, the incumbent is the primary point of contact for tax related matters. The VP of Tax will liaise with other...

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...

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 or West Reading, 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. 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 be legally eligible to work in the United States without sponsorship,...

Business Overview: The Americas Market Integrity (MI) Domain is a part of the Ethics and Compliance Department that provides transversal support to all the business functions performed in the US, Canada and Latin America.Market Integrity centers on the idea that markets, if corrupt and inefficient, are unattractive to investors. Regulators, law enforcement, exchanges, financial institutions, and investors all rely on the orderly operation of financial markets to provide a foundation of economic growth and efficient access to capital. The violation of these principles can cause severe disruptions in investor confidence and ultimately threaten the stability of the financial system.Trade Surveillance is one of the key pillars of the Market Integrity Domain. Candidate SuccessFactors: Candidates are measured on the following four performance drivers, which will dictate how individual impact is considered on the Americas platform: Results and Impact Able to influence peers and...

Join Triumph Financial! At Triumph Financial, we're focused on creating value by driving business and communities of all sizes toward the future. That's why we're looking for passionate, solutions-oriented people to join our team. As a values-driven financial service company, our goal is to help our clients succeed and our communities prosper - and that starts with forward-thinking professionals dedicated to our purpose of Helping People Triumph. Position Summary The VP, Enterprise Compliance Officer role provides support to the EVP, Enterprise Risk and Compliance in managing the compliance program within the Company. The VP, Enterprise Compliance Officer will be responsible for managing all aspects of the Company's compliance program including program management, risk assessment, control assessment, regulatory change management and complaint management. The ideal candidate will embrace change, influence a positive culture of compliance throughout the Company, and adapt the...

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 /...

Job Description: Job Title Compliance Officer - Fixed Income Sales & Trading - Credit Corporate Title Vice President Location New York, NY Overview You will provide real-time support to the Fixed Income & Currencies (FIC) Sales & Trading business which focuses on credit, rates, securitized products, foreign exchange, and emerging markets debt. Your primary focus will be aligned to the credit business. This includes advising on issues (questions, problems, or proposals) related to Credit sales and trading activities, surveillance and monitoring of 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 / work from home flexibility, generous vacation, personal and volunteer days Employee Resource Groups support an inclusive workplace for everyone and promote...

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...

As the VP, Compliance & CCO, you will provide strategic leadership for Alliant's enterprise-wide Compliance Management System (CMS) including programs to assess risk, monitor, audit, and surveillance activities and align compliance operations to the credit union's overall business strategy. Responsible for maturing the credit union's CMS, consistent with the requirements of the Consumer Financial Protection Bureau (CFPB) and other applicable financial institution regulators. Lead the compliance team in their efforts to review, evaluate, update, and manage compliance policies for the credit union, in addition to assist, advise, and train business units and their staff in carrying out their compliance obligations, consumer complaint management and third-party vendor management. Provide executive leadership of compliance reviews of federal/state regulators and serve as the primary liaison with the CFPB. Responsibilities Provide strategic direction and thought leadership to...

Serves as a senior Research, Marketing, and Content Compliance Officer for 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 ICRM program solutions that meet the Research, Marketing, and Content businesses and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating to the Research, Marketing, and Content products and services and the associated regulatory rules/laws and interpretation on internal policies and procedures. This individual will also play a key role in...

Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) 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 supported function/business/product and guidance on function/business/product rules/laws and interpretation on internal policies and procedures Responsibilities: Provide material support to Issue Management oversight...