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148 Internal Control, Regulatory and Compliance Officer Jobs

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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Gaming Compliance Officer

British Columbia Lottery 13 Reviews Prince George

The objective of the Gaming Compliance Officer role is to provide compliance services across all internal and external operations associated with… Glassdoor

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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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Compliance Officer

Permanent Solutions Direct Ltd West Worthing, England

also include; the development and implementation of processes and controls to ensure compliance and leading the business through the assessment of… Reed.co.uk

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Senior Compliance Officer (AML)

ALTIS / EXCEL Scarborough

* Monitor activities across departments to ensure compliance with applicable internal policies and procedures and external regulations. * Ensure… Glassdoor

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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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Compliance Officer – new

Hays 100+ Reviews London, England

Another key responsibility will be the provision of compliance support to the fund's authorised compliance director based out in Luxembourg and… TotalJobs.co.uk

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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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Senior Compliance Officer

Pimco 89 Reviews Newport Beach, CA

include, but are not limited to: perform various regulatory compliance monitoring functions involving Firm policies and procedures, federal and state securiti… Ivy Exec

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Compliance Officer/ Manager

Leading Financial Services Firm North /A, NA

Responsible for handling all regulatory matters relating to securities businessExecute compliance policies and procedures in alignment with latest… Ivy Exec

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Assistant Compliance Officer

Alexander Lloyd - Compliance & Financial Services 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… TotalJobs.co.uk

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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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Chief Financial Officer CFO

Allegheny Bradford Corporation 2 Reviews Lewis Run, PA

• Coordinate the preparation of financial statements, financial reports, special analyses, and information reports • Ensure that effective… TheLadders.com

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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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Retail Banking Compliance Officer

Holmes Search London, England

The Regulatory Advisory team offers you the opportunity to work with the most prominent firms in the Investment Banking, Retail Banking, Investment… eFinancialCareers

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