1030 vp compliance officer jobs found

Job Type Full-time Description The VP, Compliance Officer is primarily responsible for administering monitoring programs under the Company's compliance management system to assist in managing compliance risk across the organization, monitoring the performance of the compliance program, and recommending appropriate steps to improve its effectiveness. In particular, the Compliance Officer will assist in monitoring and guiding, the Bank's performance under the Community Reinvestment Act through proactive evaluation of data relative to area demographics and peer data, using that analysis to drive recommendations for CRA performance objectives in designated CRA Assessment Areas. The successful candidate will have a working knowledge of federal and state regulations affecting financial institutions. A successful Compliance Officer will support the Chief Compliance Officer (CCO) to ensure compliance with applicable consumer banking and other regulatory requirements by completing...

EXECUTIVE SUMMARY OF RESPONSIBILITIES 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. ABOUT LENDISTRY Lendistry is the country's largest minority-led and technology-enabled small business and commercial real estate lender with Community Development Financial Institution (CDFI) and Community Development Entity (CDE) certification. We are a national employer whose mission is to provide economic opportunities and progressive growth for small business owners and their underserved communities as a source of financing and financial education. GENERAL RESPONSIBILITIES Reporting to the Chief Compliance Officer, the VP-...

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 the Malvern, PA location coming into the office at least 3-days per week with Monday, Tuesday, and Thursday being set office days. If within a 50-mile radius of the work location, the expectation is hybrid. Who is Customers Bank? Founded in 2009, Customers Bank is a super-community bank with over $22 billion in assets. We believe in dedicated personal service for the businesses,...

About the Role Wolfe Research is seeking an experienced Compliance Officer to work alongside a team of six Legal and Compliance professionals in building and maintaining extraordinary broker-dealer and investment adviser compliance programs at a dynamic and fast-growing research firm. The Compliance Officer will coordinate, recommend, and execute plans to address potential issues, fulfill regulatory obligations, and promote best practices. In addition to being highly analytical and detail-oriented, the ideal candidate will provide real-time advice and support to key front office personnel in a fast-paced environment and will have prior broker-dealer Equity Research Compliance experience and be comfortable interacting directly with all levels of management. Responsibilities: Collaborate with various teams in gathering information for submission of periodic compliance deliverables to clients and regulatory examinations Executing the end-to-end process for regulatory...

Axos Bank Target Range: $100,000.00/Yr. - $115,000.00/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 Participate and lead initiatives of the Compliance Management System Program. Develop compliance programs and procedures to ensure bank products & services comply with federal and state laws and regulations. Identify potential areas of compliance vulnerability and risk; develop corrective action plans for resolution of problematic issues and providing general guidance on how to avoid or deal with similar situations in the future. The Compliance team works to ensure compliance with applicable laws...

Job Description Compliance Officer - Operations & Regulatory Reporting Oversight Description: The desired candidate has mid to senior level experience providing compliance advisory support for Operations and Regulatory Reporting Groups Provide compliance advice, oversight on operational rules and regulations for securities and swaps to Front Office, Middle and Back office. (e.g. T+1, Turnaround Rule, Margin, Settlements, Inter-Company bookings, clearing, corporate actions). Coordinate with Markets Advisory Compliance and Markets Surveillance on operational issues that require/involve product subject matter expertise. Review/Manage Restricted Stock and Sales off a Registration Statement Program Actively monitor regulatory developments and trends, attend industry calls such as SIFMA & FIF and take appropriate action to ensure compliance with new or amended regulations. Provide compliance guidance and create oversight program for reg reporting, work with...

The Compl AML Core Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their application in own job and the business. Recognized technical authority for an area within the business. Requires basic commercial awareness. There are typically multiple people within the business that provide the same level of subject matter expertise. Developed communication and diplomacy skills are required in order to guide, influence and convince others, in particular colleagues in other areas and occasional external customers. Significant impact on the area through complex deliverables. Provides advice and counsel related to the technology or operations of the business. Work impacts an entire area, which eventually affects the overall performance and effectiveness of the sub-function/job family. Responsibilities: Evaluate, enhance and implement best -in-class AML Compliance policies and practices. Provide...

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...

Job Details Level Experienced Job Location 26 Forest St Operations - Marlborough, MA Position Type Full Time Salary Range $110,000.00 - $125,000.00 Salary/year Job Category Banking Description Title: VP Compliance & CRA Officer FLSA Status: Exempt Employment Status: Full Time Department: Compliance/Risk Location: Operations Center/ Hybrid Eligible Reports To: EVP Strategy & Risk Date Prepared: April 11, 2024 Human Resources Review: May 17, 2024 SUMMARY: Reporting to the SVP of Strategy and Risk, the Compliance Officer supports the Bank's Compliance Program by providing subject matter expertise in consumer compliance to all departments Responds to compliance questions, monitors changes in compliance laws and regulations to provide appropriate guidance to affected business units, creating implementation plans for any regulatory or product/service changes; assists business units with creating and managing appropriate controls,...

Serves as an Electronic Trading (ET) product compliance risk 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 protects 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 specific Electronic Trading and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance related guidance across Electronic Trading (ET) businesses and the associated regulatory rules/laws and interpretation on internal policies and procedures. Responsibilities: Assisting in the design, development, delivery and...

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 This individual will be part of a team that will provide compliance coverage...

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Compliance Independent Assessment (CIA) team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing risk assessments of Citi's compliance risks; performing independent testing/monitoring activities (testing and on-going monitoring) to assess the design and effectiveness of key controls designed to address compliance risk; reporting and escalating control issues and any violations of laws or breaches of policy; and validating adequacy of remediation taken to address reported issues. Responsibilities: Developing, implementing, and executing compliance testing/monitoring, continuous assurance, and reporting programs within an assigned region in accordance with the Compliance Independent Assessment (CIA) Plan. Participating in the planning, executing, and reporting of compliance testing/monitoring reviews and...

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team is responsible for escalating the activity and working collaboratively with partners across the first and second lines of defense to determine the appropriate resolution of the matter, which may include employee discipline. The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, outside activities surveillance, and information barrier surveillance. Responsibilities: Creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews. Improving surveillance tools and applications by...

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing risk assessments of Citi's compliance risks; performing independent testing activities (testing and on-going monitoring) to assess the design and effectiveness of key controls designed to address compliance risk; reporting and escalating control issues and any violations of laws or breaches of policy; and validating adequacy of remediation taken to address reported issues. Key Activities include: Developing, implementing, and executing compliance testing, continuous assurance, and reporting programs within an assigned region in accordance with the Compliance Testing (CT) Plan. Participating in the planning, executing, and reporting of compliance testing reviews and compliance and regulatory issue validation activities for a component of a...

Serves as a compliance risk 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 protects 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. Responsibilities: Participating in the design, development, delivery and maintenance of best-in-class Compliance programs, policies and practices for ICRM. Analyzing complex comparative data, preparing and presenting regional and global reports related to compliance risk assessments, and monitoring of compliance related issues. Reviewing materials to ensure compliance with various...

Serves as a Markets Fixed Income Product Compliance officer for Independent Compliance Risk Management (ICRM). Specific coverage areas include: Global Rates, Markets Treasury, XVA, Citi Treasury Investments, Markets Quantitative Analysis, and Benchmark Administration. 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...

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, 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 U.S. Retail Bank Branches and guidance on U.S consumer protection rules/laws and interpretation on internal policies and procedures. This individual will be part of a team, which interfaces with business teams...

The Compliance AML Intel Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their application in own job and the business. Recognized technical authority for an area within the business. Requires basic commercial awareness. There are typically multiple people within the business that provide the same level of subject matter expertise. Developed communication and diplomacy skills are required in order to guide, influence and convince others, in particular colleagues in other areas and occasional external customers. Significant impact on the area through complex deliverables. Provides advice and counsel related to the technology or operations of the business. Work impacts an entire area, which eventually affects the overall performance and effectiveness of the sub-function/job family. Responsibilities: Analyze and proactively identify risks and new AML concerns. Review recent news, court...

Serves as a compliance risk 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 protects 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. Responsibilities: Participating in the design, development, delivery and maintenance of best-in-class Compliance programs, policies and practices for ICRM. Analyzing complex comparative data, preparing and presenting regional and global reports related to compliance risk assessments, and monitoring of compliance related issues. Reviewing materials to ensure compliance with various...

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team is responsible for escalating the activity and working collaboratively with partners across the first and second lines of defense to determine the appropriate resolution of the matter, which may include employee discipline. . The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, outside activities surveillance, and information barrier surveillance. Responsibilities: Creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews. Improving surveillance tools and applications...