2182 compliance officer jobs found

Location: 4910 Tiedeman Road, Brooklyn Ohio About the Job The Compliance Risk Analytics & Reporting Officer supports the development, execution, reporting, and continuous improvement of Key's Compliance Risk Assessment and Compliance Monitoring Programs. This position assists in the identification, assessment, monitoring, and reporting of compliance risks through a combination of compliance expertise, risk management knowledge, data analytics, and reporting capabilities. The role partners closely with Compliance, Technology, GRC, Internal Audit, Operational Risk, and business stakeholders to improve compliance risk transparency, strengthen governance reporting, enhance monitoring effectiveness, and support enterprise risk management objectives. The position is responsible for supporting executive and committee reporting, maintaining compliance risk information, performing data analysis and reporting activities, identifying emerging risks and trends, and assisting...

Location: 4910 Tiedeman Road, Brooklyn Ohio Job Summary The Compliance Officer participates on a team working with management to develop policies and procedures that ensure compliance with applicable laws and regulations. This role may lead compliance projects and provide guidance to less experienced Compliance Analysts. The Compliance Officer supports a function, product, or process to ensure KeyBank adheres to all required rules and regulations. They may sit in the first or second line of defense and are expected to resolve complex problems or transactions, often owning one or more processes, reports, or procedures and serving as a subject matter expert on cross-functional projects. Essential Functions Serve on a team of risk evaluation and assurance professionals, providing independent Second Line of Defense monitoring and evaluation. Conduct risk-based monitoring and evaluation activities including assessments, testing, analysis, and reporting. Demonstrate...

Department Profile: Harvard’s Office of Research and Academic Compliance (ORAC) within the Office of the Vice Provost for Research aims to promote and support a culture of integrity in research and education by providing specialized administrative and operational expertise, including proactive risk assessment, consultation, and mitigation, to help Harvard’s schools, departments, and research communities comply with applicable laws, regulations, and institutional policies. ORAC leads and directs risk and compliance activities for various schools and units across campus and is responsible for a broad spectrum of risk assessment and mitigation, compliance, research security, operations, and education/training in the major compliance domains, including financial conflicts of interest, conflicts of commitment, outside activities, export controls, and international collaborations and activities. ORAC works as a central administration clearinghouse for non-financial compliance issues...

Location: 4910 Tiedeman Road, Brooklyn Ohio About the Job The Home Lending Compliance Officer will be a member of the Home Lending Compliance team within Compliance Risk Management.  They will provide support to the Mortgage and Home Equity Origination lines of business by researching, interpreting, and assisting with applying the assigned laws and regulations to each applicable line of business processes and systems.  They will provide consultative advice to applicable lines of business related to compliance, perform oversight activities and assume responsibility for mitigating and discouraging actions that may expose KeyCorp and its affiliates to risk outside its desired risk appetite. Essential Job Functions For the Home Lending Origination line of business, serve as the corporate compliance subject matter expert. Demonstrate working knowledge of banking/consumer compliance laws and regulations and apply them to risk management strategies. Develop...

At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions, enabling the communities we support to grow and succeed in the right ways, all more confidently and more often—that’s what we call the courage to thrive.   We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive. Try new things, learn new skills and discover what you excel at—all from Day One.   As a wholly owned subsidiary of U.S. Bank, Elavon is committed to building the platforms and ecosystems that help over 1.5 million customers around the world to achieve their financial goals—no matter what they need. From transaction processing to customer service, to driving innovation and launching new products, we’re building a range of tailored payment solutions powered by the...

Location: 4910 Tiedeman Road, Brooklyn Ohio About the Job The Senior Compliance Officer, Horizontal Compliance is responsible for assisting the applicable Compliance Executive in overseeing compliance risk mitigation and discouraging actions that may expose KeyCorp and its subsidiaries to regulatory, compliance, or reputational risks in excess of Key’s risk tolerance. This position will be responsible for compliance oversight of Regulation W, Regulation O, and Anti-tying regulations, including serving as the second line of defense point of contact for Finance and Law Group Material Business Units. This position will have oversight of compliance risk programs and policies including providing highly specialized guidance and oversight on current and emerging regulatory compliance risks. The qualified candidate must be able to work independently and use sound judgment, taking into consideration risk tolerances of the assigned LOBs and Key’s overall risk appetite....

Location: 4910 Tiedeman Road, Brooklyn Ohio Job Summary The Compliance Officer participates on a team working with management to develop policies and procedures that ensure compliance with applicable laws and regulations. This role may lead compliance projects and provide guidance to less experienced Compliance Analysts. The Compliance Officer supports a function, product, or process to ensure KeyBank adheres to all required rules and regulations. They may sit in the first or second line of defense and are expected to resolve complex problems or transactions, often owning one or more processes, reports, or procedures and serving as a subject matter expert on cross-functional projects. Essential Functions Serve on a team of risk evaluation and assurance professionals, providing independent Second Line of Defense monitoring and evaluation. Conduct risk-based monitoring and evaluation activities including assessments, testing, analysis, and reporting. Demonstrate...

Location: 4910 Tiedeman Road, Brooklyn Ohio About the Job The Compliance Officer will be a member of the Consumer Lending Servicing Compliance team within Compliance Risk Management.  The Compliance Officer will provide support to various lines of business by researching, interpreting and assisting with applying the assigned laws and regulations to each applicable line of business.  As subject matter expert for their assigned laws and regulations, the Compliance Officer will provide consultative advice across all lines of business related to compliance.  The Compliance Officer will perform oversight activities and assume responsibility for mitigating and discouraging actions that may expose KeyCorp and its affiliates to risk outside its desired risk appetite. Essential Functions For assigned lines of business and/or regulations, serve as the corporate subject matter expert across the designated lines of business. Develop relationships of trust and confidence...

Location: 4910 Tiedeman Road, Brooklyn Ohio The Commercial Compliance Officer – Servicing, will be a member of the Commercial Lending and Deposits Compliance team within Compliance Risk Management.  The Commercial Compliance Officer – Servicing, will provide loan servicing support to business and commercial lines of business by researching, interpreting and assisting with applying the related laws and regulations.  As subject matter expert, the Commercial Compliance Officer – Servicing, will provide consultative advice, perform oversight activities and assume responsibility for mitigating and discouraging actions that may expose KeyCorp and its affiliates to risk outside its desired risk appetite.  For assigned lines of business, serve as a corporate subject matter expert for all compliance risks. Develop relationships of trust and confidence with the designated lines of business. Provide oversight and monitoring of line of business processes and controls. Proactively...

Location: 127 Public Square, Cleveland Ohio The Compliance Control Room Analyst/Officer is responsible for assisting in the day-to-day operations of the KBCM Control Room, including maintaining the firm's information barrier program, managing restricted and watch lists, reviewing transactions for potential conflicts of interest, and ensuring compliance with all applicable federal securities laws, FINRA rules, and firm policies and procedures. This role serves as a critical liaison between the Investment Banking, Capital Markets, Research, and Sales & Trading departments and the Compliance function, helping to ensure the firm's business activities are conducted in compliance with regulatory requirements governing the handling and control of material non-public information (MNPI). The position reports to the Deputy Chief Compliance Officer of KBCM. Key Responsibilities Information Barrier & MNPI Management Administer and maintain the firm's Watch List and...

Location: 200 Middle Street, Suite 301, Portland Maine Job Summary We are seeking a Compliance Officer to join the 1st Line of Defense (1LOD) in the Wealth Management Risk department and work in close partnership with the Chief Investment Office (CIO). This role is embedded within the business and is accountable for enabling, supporting, and strengthening the CIO's ownership of investment and operation risk through a clearly defined, practical, and executable risk framework. This role ensures that: IDD and ODD activities conducted by the CIO are risk‑aligned, The framework has appropriate controls, documentation, metrics, and monitoring, and risks are identified, escalated, and remediated through 1LOD standards. This is a foundational position for someone with experience in portfolio management, investment research, and/or investment risk who wants to shape how investment risk is governed across the firm. Essential Functions 1. CIO Investment Risk Framework...

About the Role: Grade Level (for internal use): 20 Company Overview S&P Global is a leading provider of transparent and independent ratings, benchmarks, analytics, and data to the capital and commodity markets worldwide. With more than a century of trust behind its brands, S&P Global plays a foundational role in the global financial system, transforming data into Essential Intelligence® that enables companies, governments, and individuals to make decisions with conviction. The firm is executing a multi‑year enterprise transformation focused on three strategic pillars: ADVANCE Market Leadership, EXPAND High‑Growth Adjacencies, and AMPLIFY Enterprise Capabilities & AI. This strategy is reshaping how S&P Global operates—scaling enterprise platforms, accelerating innovation, simplifying operating models, and embedding AI across products, workflows, and internal processes. At the same time, S&P Global’s competitive advantage increasingly rests on the...

Harvard University has the largest intercollegiate athletic department in the country with 42 varsity sports and approximately 1,200 varsity student-athletes. Harvard has long valued the lessons taught by athletic participation: the pursuit of excellence through personal development and teamwork, ethical and responsible behavior on and off the field, adherence to the spirit of rules as well as to their letter, leadership and strength of character, acceptance of victory with humility and acknowledgement of defeat with grace. In addition, Harvard Athletics believes in building community through the engagement of students, faculty, staff, and alumni and creates an environment in which neighboring communities can enjoy the Harvard experience.  The Licensed Mental Health Clinician, LMHC, for Harvard University Health Services is a member of the Counseling and Mental Health Services (CAMHS) team at HUHS and will work collaboratively with the Sports Medicine program within the Department...

The EA/PC reports jointly to the University Chief Compliance Officer (UCCO) and the Assistant Vice Provost and Managing Director for Research Data Strategy (AVP). The incumbent provides high-level administrative, operational, and project coordination support to ensure the effective functioning of both offices and the successful advancement of institutional priorities. Job-Specific Responsibilities: The Executive Assistant and Project Coordinator will deliver advanced administrative support to the UCCO, ensuring efficient daily operations of the office, as well as support occasional, discreet projects related to the AVP. Responsibilities specific to the UCCO include: Managing complex calendars and overseeing the planning, scheduling, and coordination of meetings Preparing meeting materials, including agendas and briefing documents, by researching, compiling, and synthesizing relevant information Providing timely follow-up on action items and monitoring the completion of...

Compliance Tester III The Principal Compliance Tester III performs a key second line of defense role to help ensure corporate initiatives, departmental processes, and applicable lines of business comply with enterprise regulatory requirements. Working under the guidance of a team leader, the Principal Tester III will execute complex, risk-based compliance transaction testing. The primary purpose of this role is to independently validate business line adherence to both Anti-Money Laundering (AML) laws and consumer regulations—including but not limited to the BSA, USA PATRIOT Act, PCMLTFA, and Regulations CC, D, DD, E, and FCRA. In this role, you will collaborate with an experienced and diverse group of Compliance professionals to provide independent testing against Capital One’s risk management framework. You will leverage your deep regulatory knowledge to drive testing innovations, improve data sourcing, and ensure business practices safeguard the enterprise. Key...

About the Role: Grade Level (for internal use): 14 About The Role: S&P Global is seeking an Associate General Counsel - Corporate Governance & Securities for its New York, NY, USA location. The Team This position reports directly to the Vice President, Associate General Counsel & Corporate Secretary and serves as a senior leader within the Corporate Legal Group. The role leads a team of attorneys responsible for securities law, SEC reporting, employee benefits, and related corporate matters and serves as a key strategic advisor to senior management. Responsibilities and Impact The Associate General Counsel - Corporate Governance & Securities serves as a senior legal advisor on corporate governance, securities law, disclosure, capital markets, treasury matters, and other strategic corporate transactions. The role partners closely with the CFO, Chief Accounting Officer, Head of Investor Relations & Treasurer, and other senior...

Location: 66 South Pearl Street, Albany New York Job Summary The Associate provides trust administration support to enable assigned Trust Officer(s) to effectively manage accounts while maintaining an optimal level of client service. Essential Functions Performs day-to-day trust administration functions on assigned accounts accurately and by necessary deadlines (i.e., open accounts, close accounts, asset maintenance, process bills, cash receipts, etc.); interfaces with centralized support areas such as Fiduciary Control Group, Trust Risk Management, Trust Operations, Trust Tax, Revenue Administration and Trust Real Estate to ensure completion. Reads and understands Trust Agreements and related documents for administrative purposes. Ensures fees are set up correctly as directed by Trust Officer. Monitors accounts on a daily basis for overdrafts and un-invested cash and keeps Trust Officer informed. Uses cash forecasting to determine approximate amount needed in...

Job Description: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day. Being a Great Place to Work and providing a culture of caring is core to how we drive Responsible Growth. We are intentional about fostering an inclusive workplace where every teammate has the opportunity to succeed, build a career and contribute to our shared success. This includes attracting and developing exceptional talent, recognizing and rewarding performance, and supporting our teammates’ physical, emotional, and financial wellness through affordable, competitive and flexible benefits. We value the unique perspectives individuals bring from all backgrounds and career paths - whether shaped by military service, community college education, or a wide range of work and life experiences. These journeys...

Job Description: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day. Being a Great Place to Work and providing a culture of caring is core to how we drive Responsible Growth. We are intentional about fostering an inclusive workplace where every teammate has the opportunity to succeed, build a career and contribute to our shared success. This includes attracting and developing exceptional talent, recognizing and rewarding performance, and supporting our teammates’ physical, emotional, and financial wellness through affordable, competitive and flexible benefits. We value the unique perspectives individuals bring from all backgrounds and career paths - whether shaped by military service, community college education, or a wide range of work and life experiences. These journeys...

Job Description: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day. Being a Great Place to Work and providing a culture of caring is core to how we drive Responsible Growth. We are intentional about fostering an inclusive workplace where every teammate has the opportunity to succeed, build a career and contribute to our shared success. This includes attracting and developing exceptional talent, recognizing and rewarding performance, and supporting our teammates’ physical, emotional, and financial wellness through affordable, competitive and flexible benefits. We value the unique perspectives individuals bring from all backgrounds and career paths - whether shaped by military service, community college education, or a wide range of work and life experiences. These journeys...

Job Description: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day. Being a Great Place to Work and providing a culture of caring is core to how we drive Responsible Growth. We are intentional about fostering an inclusive workplace where every teammate has the opportunity to succeed, build a career and contribute to our shared success. This includes attracting and developing exceptional talent, recognizing and rewarding performance, and supporting our teammates’ physical, emotional, and financial wellness through affordable, competitive and flexible benefits. We value the unique perspectives individuals bring from all backgrounds and career paths - whether shaped by military service, community college education, or a wide range of work and life experiences. These journeys...

The Director of HKS (Harvard Kennedy School) Library Services leads the ongoing development of library services and collections supporting world-class research and teaching in public policy and government, working directly with Harvard Kennedy School stakeholders and with colleagues across Harvard Library, and is the senior leadership role for the HKS Library.  The Director reports to the Chief Research Enablement Officer (CREO) as part of the research and library services department, and is a member of the CREO’s management team, along with the Director of Research Computing and Data Services, the Executive Director of Research Administration, the Manager of Community Engagement and Special Projects, and the Senior Administrative Coordinator. The Director works closely with the Vice President for the Harvard Library and University Librarian or delegates.  The Director plays a central role in shaping a modern, research-driven library that integrates deeply into the School’s...

This position is responsible for managing the building operation of the five-building HKS complex and leased space, as required. Duties including directing a wide range of support functions and all activities relating to building operations, building systems, safety maintenance and services, building renovations, space planning and lease management. Job-Specific Responsibilities: Manages and oversees all aspects of the building planning and operations to ensure that the highest quality service is provided in support of the teaching and research in the facilities.. Establishes and oversees processes needed for maintenance, emergency repairs, safety program, and renovations. Plan, prioritize and review the work of staff and contractors responsible for mechanical and electrical equipment, lighting, plumbing, masonry, utilities, and grounds. Manages the process of furnishing and equipment selection, purchasing, and installation Develop goals, objectives and standard...

Job Description: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day. Being a Great Place to Work and providing a culture of caring is core to how we drive Responsible Growth. We are intentional about fostering an inclusive workplace where every teammate has the opportunity to succeed, build a career and contribute to our shared success. This includes attracting and developing exceptional talent, recognizing and rewarding performance, and supporting our teammates’ physical, emotional, and financial wellness through affordable, competitive and flexible benefits. We value the unique perspectives individuals bring from all backgrounds and career paths - whether shaped by military service, community college education, or a wide range of work and life experiences. These journeys...