Bank Compliance Attorney Jobs

Surveillance Product Specialist The Candidate will be responsible for creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews. Improving surveillance tools and applications by coordinating with Information Technology on the ..

SVP Surveillance Product Specialist Duties: Serves as a Surveillance Product Specialist in the Compliance Surveillance function within Independent Compliance Risk Management (ICRM). Will be responsible to track and intemperate rule changes, ..

... TTS and CCB O&T ICRM Compliance Officer The candidate will be ... developing, delivering and maintaining best-in-class Compliance, programs, policies and practices for ... subject matter expert on Citi’s..

Director Risk And Controls The candidate will lead cross functional teams, potentially across multiple geographic locations. Mitigates risk exposure to company by identifying activity that poses potential for significant reputations and/or ..

Operational Risk Officer – Control Testing The candidate will be responsible for: effectively testing/challenging internal control assessments for the Combined US Operations (CUSO) of UBS. Liaising regularly with the Heads of ..

State and Local Tax Director The candidate will manage all aspects of the state and local tax function for Royal Bank of Canada and affiliated companies doing business in the US. ..

Americas Compliance And Operational Risk Control Chief ... have 10+ years of prior compliance and/or operational risk or related ... broker dealer, retail and/or private bank, or 10+ years of..

Compliance Escalation and Incident Reporting Senior ... developing, delivering and maintaining best-in-class Compliance, programs, policies and practices for ... of aggregation and reporting of compliance risk incident escalations enterprise-wide to..

Compliance Product Officer - TTS Cash ... Treasury and Trade Solutions (TTS) compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for ... framework. Primary responsibilities include monitoring compliance..

Senior Counsel, Regulatory Attorney The candidate will report directly to the Associate General Counsel and will be responsible for providing regulatory and business legal advice relating to broker-dealers and dual registrants. ..

Staff Attorney Duties: Coordinate with internal stakeholders to identify and advise on legal risks and contractual issues and in the interpretation of contracts and other and implement best practices. Draft and ..

Compliance Assurance Director - NAM ICG ... candidate serves as a senior compliance risk manager for Independent Compliance Risk Management (ICRM)’s Assurance team ... Assurance team responsible for assessing compliance..

Corporate Counsel (Investments) The candidate will work closely with the investments team on distressed investments and special situations arising from portfolio holdings of equity, taxable fixed income, and municipal securities. Work ..

Swap Dealer Compliance Officer The candidate will manage ... candidate will manage swap dealer compliance program including assessing and updating ... new business activities. Overseeing the compliance framework for annual..

Operational Risk Officer – Control Testing The candidate will be responsible for: Effectively testing/challenging internal control assessments for the Combined US Operations (CUSO) of company. Liaising regularly with the Heads of ..

Compliance Assurance Director Duties: The candidate ... candidate serves as a senior compliance risk manager for Independent Compliance Risk Management (ICRM)'s Assurance team ... Assurance team responsible for assessing compliance..

Vice President, AML Compliance Risk Management (ACRM) Officer – NAM Banking, Capital Markets and Advisory Duties: Execute and implement firm-wide AML risk management policy and strategic processes. Maintain AML compliance program ..

AWM Compliance Manager The candidate will be responsible for oversight of the Private Bank business. Will provide support to ensure that the firm’s Financial Crime program is successfully implemented. Will: Assess ..

Regulation W Compliance Officer The candidate duties will ... of the CUSO Banking Regulatory Compliance Regulation W framework, including risk ... and monitoring, and training; Conduct compliance oversight reviews of..