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181 internal control regulatory and compliance officer jobs

Compliance Officer ICG Testing

Citi New York, NY

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 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 - Prince George or Quesnel

British Columbia Lottery 14 Reviews Prince George

Based out of either Prince George, BC or Quesnel, BC with travel to Williams Lake, the objective of the Gaming Compliance Officer role is to provide… Glassdoor

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Senior Compliance Officer (AML)

ALTIS / EXCEL Toronto

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

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Compliance Officer, Control Group & Research Legal, SVP

Citigroup 100+ Reviews Hong Kong, NA

Job Purpose: The Control Group Research Legal team (the Control Group ) is responsible for the management of conflicts of interests within Citi. The… Ivy Exec

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Deputy Chief Compliance Officer

Leading Financial Services Firm New York, NY

Manage and continue the development and organization of the Corporate Compliance Program (e.g., Policy and Training, Control Room, Conflicts… Ivy Exec

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Compliance Officer

Asset Resourcing 4 Reviews Saint Albans, Hertfordshire

*Provide training to the business to compliment and develop on the CBT. *Analyse… Jobg8

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Compliance Control Officer, Brussels (M/F)

Petit Bruxelles

- To participate in the parameterization of the Compliance system Sentinel (coding of Legal, Statutory, Contractual and Internal rules). - To ensure… feed.stepstone.be

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 - CF10a - CASS - Manchester- £45K

Robert Walters 64 Reviews Manchester, England

within the Control Functions, Statements of Principle and General Principles of Approved Persons * CASS Apportionment & Oversight (CF10A) Knowledge… TotalJobs.co.uk

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Surveillance Officer

Majestic Star Casino 4 Reviews Gary, IN

Essential Functions: The Surveillance Officer is responsible for observing, monitoring and recording all activity occurring in the casino area and… Majestic Star Casino

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Senior Compliance Officer - Finance and Investment Industry Opportunity

UBS 100+ Reviews Shanghai

1.Minimum 7 years plus first tier legal firms working experience (focus on capital market… VelvetJobs.com

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Chief Operating Officer

Sterling Life Sciences Southern California, CA

include: 1) Oversee general financial of the company 2) Strategically plan, prepare and implement annual budgets 3) Ensure that the company… Sterling Life Sciences

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Control & Compliance Officer – new

Huntswood 3 Reviews Basingstoke, England

will be to: • Monitor compliance regulations and update internal policies • Contribute to the development and maintenance of the compliance… 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… Adzuna

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Conflict and NDA Compliance Officer - Finance and Investment Industry Opportunit

SunTrust 100+ Reviews Atlanta, GA

Plans, executes and manages projects to evaluate regulatory compliance in assigned areas. Monitors and reviews policies, standards and procedures and… VelvetJobs.com

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Senior Compliance Officer ICG Testing

Citi New York, NY

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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Regulatory and Compliance Officer

Leading Financial Services Firm Melbourne, NA

Working for a growing Trustee which offers a broad range of products including portfolio management, managed funds, superannuation, aged care… Ivy Exec

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