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Compliance Officer Jobs

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Company
American Water Works Company, ...
Experience
4-7 yrs required
Location
Voorhees, NJ
Posted Date
Apr 27,17
Info Source
with respect to (1) compliance with all applicable securities... policies and practices, including compliance with the requirements of... and 5), and NYSE compliance Responsible for handling open... ownership and retention requirement compliance Monitor SEC law/rule changes compliance read more
Company
In-House
Experience
Min 15 yrs required
Location
New York City, NY
Posted Date
Apr 26, 17
Info Source
Employer
President, Head of Regulatory Compliance The candidate: Ensures compliance... of the HSS (Security... industry regulations by providing compliance support, advice, and guidance... to the business. Provides compliance functional oversight and guidance... relevant Heads of GBM Compliance in relation to HSS... Compliance... read more
Company
In-House
Experience
Min 2 yrs required
Location
East Hartford, CT
Posted Date
Apr 26, 17
Info Source
Employer
the Senior Ethics and Compliance Officer for Military Engines... in the Ethics and Compliance program implementation within P&W... Military Engines Ethics and Compliance program by, developing, providing... and tracking Ethics and Compliance training and improving communications.... participate in Ethics and Compliance initiatives, teams and committees... Compliance... read more
Company
Academic
Experience
Min 4 yrs required
Location
Miami, FL
Posted Date
Apr 25, 17
Info Source
Employer
Regional Ethics and Compliance Officer The candidate will... the Chief Ethics and Compliance Officer and other Corporate... range of ethics and compliance activities in institutions in... firm's Chief Ethics and Compliance Officer. Setting direction and... strategy for Ethics and Compliance activity in the LATAM... Compliance... read more
Company
In-House
Experience
Min 5 yrs required
Location
Bothell, WA
Posted Date
Apr 28, 17
Info Source
Employer
Corporate Compliance Analyst The candidate will... support the company’s overall compliance program, including the company’s... of Business Conduct and Compliance with Law Program, Healthcare... Security. Work on company’s compliance issues, both independently and... in collaboration with company’s Compliance Officer and the Compliance...... read more
Company
In-House
Experience
Min 8 yrs required
Location
New York City, NY
Posted Date
Apr 27, 17
Info Source
Employer
Divisional Compliance Officer The candidate will... responsible for managing the compliance function. Will be responsible... that a highly effective compliance program is in operational,... identify, mitigate and address compliance risk. This responsibility will... assessment annually and formulate compliance plans geared at developing... compliance... read more
Company
In-House
Experience
Min 4 yrs required
Location
San Francisco, CA
Posted Date
Apr 27, 17
Info Source
Employer
company’s broker-dealers and their compliance function and will be... required to help ensure compliance with applicable FINRA and... on a range of compliance and regulatory issues. Ensure... recommendations and ensure legal compliance Work with business team... potential risks Support the compliance officer in overseeing firm’s... compliance... read more
Company
In-House
Experience
Min 7 yrs required
Location
Basking Ridge, NJ
Posted Date
Apr 19, 17
Info Source
Employer
Compliance Officer The candidate will... responsible for managing the Compliance function for firm and... develop and maintain a compliance management system (which includes... an enterprise wide compliance risk assessment) that integrates... and executing an organization-wide compliance assessment program for the... compliance... read more
Company
In-House
Experience
Min 8 yrs required
Location
Houston, TX
Posted Date
Apr 17, 17
Info Source
Employer
Divisional Compliance Officer The candidate will... identify, mitigate and address compliance risk. This responsibility will... assessment annually and formulate compliance plans geared at developing... surveillance. Ensure that appropriate compliance due diligence reviews are... and appropriate business leaders compliance policies and procedures at... Compliance... read more
Company
In-House
Experience
Min 5 yrs required
Location
Irving, TX
Posted Date
Apr 28, 17
Info Source
Employer
Compliance Officer - GRB Compliance... / NAM AB&C Compliance... The candidate will be... monitoring and controls; enhancing compliance processes; serving as a... internal stakeholders on AB&C compliance; conducting AB&C due diligence... and participating in several Compliance and Business governance processes;... Compliance... read more
Company
In-House
Experience
Min 12 yrs required
Location
San Francisco, CA
Posted Date
Apr 25, 17
Info Source
Employer
employment matters, dispute resolution, compliance, and enterprise risk management.... key thought leader, chief compliance officer, and business advisor... and strategy and regulatory compliance issues. Lead, manage, and... contractual, regulatory, revenue recognition, compliance, financial, intellectual property, employment,... and review legal and compliance processes, procedures and training.... Compliance... read more
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