2375 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 Job Summary The Senior Compliance Officer – Home Lending Originations is a member of Compliance Risk Management, dedicated to supporting residential mortgage and home lending origination activities. This role carries significant responsibility for ensuring that regulatory and compliance risks associated with mortgage products, origination channels, and lending practices are effectively identified, assessed, and mitigated in accordance with KeyCorp’s risk appetite. The Senior Compliance Officer provides oversight of compliance-related activities within Home Lending Originations, including delivering specialized guidance on current and emerging regulatory requirements impacting mortgage lending (e.g., RESPA, TILA, ECOA requirements, and state-specific regulations). This role will review and challenge business strategies, including new products, origination initiatives, monitoring activities and third-party relationships to...

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...

Provides urgent health care to the University's student, faculty/staff, and retiree populations. Responsible for urgent care visits. Participates in a team with physicians, nurse practitioners, and nurses to provide high-quality and compassionate care. May participate in teaching residents and medical students. Has outpatient responsibilities for acute and non-acute patient complaints.  Performs problem-based physical exams and orders appropriate laboratory, x-ray, and other diagnostic and medical procedures to meet short-term health care needs. Plans, directs, and coordinates the acute medical care as needed.   Coordinates the appropriate referrals and follow-up care of patients to other health care providers for specialized needs. Educates patients – based on age, gender, psychosocial and cultural context, and overall health of the patient – on illness or its complications and on ways to maintain a healthy lifestyle. Advises the patient with an illness on the most...

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...

The Social Worker, LICSW provides assessment and clinical care, including evaluation, diagnosis, treatment, consultation, and referral, to a diverse population of Harvard students and their dependents.   Counsels and provides outreach and education, consults with University administrators, maintains quality assurance, and participates in improvement activities. Participates in week day urgent care schedules. Job-Specific Responsibilities Clinical Care of Patients: Facilitates the clinical management of patients through the process of evaluation, diagnosis, consultation, and referral to the appropriate resources. Provides individual, group, and crisis intervention. Coordinates out-patient visits to ensure timely access to the appropriate services. Identifies and monitors high-risk patients and expedites an individualized crisis management plan. Develops and maintains mechanisms to assure continuity of care for individuals requiring acute care. Provides and documents...

Provides high-quality psychiatric care to faculty, staff, dependents, and retirees of Harvard University. This patient population is interesting, high motivated, and generally very responsible about their psychiatric care.  The position provides 80% face-to-face clinical time (60 minutes for new intakes, 20 and 40 minutes for follow-up visits), and 20% allotted for administrative tasks.  Works collaboratively with a highly skilled team of social workers and psychologists within the Department of Behavioral Health, who offer 60-minute counseling sessions.  Communicates as necessary with primary care physicians and with outside therapists.  Collaborates with Care Coordination regarding hospitalized patients or patients with complicated medical needs.  Meets with Behavioral Health team weekly at the Wednesday staff meeting to review cases and practice matters.  Other supports include robust informational systems, user-friendly electronic medical record with links to other Harvard...

The part-time Nurse Practitioner for Dermatology (20 hours per week) provides episodic and ongoing health care to the adolescent, adult, and geriatric University community with complaints of the skin. This position is under the supervision of the Senior Director for Nursing and Health Promotion as well as the day-to-day supervision of the Chief of Dermatology. He/she works interdependently with physicians, nurse practitioners, nurses, and health assistants.   Job-Specific Responsibilities Assessment Interviews patients for assessment of current and/or ongoing problem/s, medications and allergies. Obtains and records health history in a systematic format.  Reviews medical record/summary for pertinent previous and current medical information.  Performs physical assessment relevant to current and/or ongoing health need/s.  Critically evaluates assessment, history and physical findings.  Treatment Plan of Care After evaluation of health care needs plans for appropriate...

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...

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...

Join the Environmental Health & Safety (EHS) team at Harvard University and help champion a culture of safety across research facilities. As a Health Physicist and key member of the Radiation Safety Services team, you will serve as a subject matter expert, providing professional guidance on the safe use of ionizing and non-ionizing radiation. In this collaborative role, you will partner directly with researchers to find safe, practical solutions that support their scientific objectives while ensuring regulatory compliance. We are looking for an engaging, service-oriented professional who can communicate effectively across all levels of the University. Work Schedule: This role requires an in-person presence on the Cambridge and Longwood campuses to support laboratories. This is a full-time (40 hours/week) position with flexibility based on operational needs and scheduled laboratory support. Job-Specific Responsibilities   Mentorship & Technical Leadership: Provide...

Job Summary:  The Divisional Finance Director, Harvard College and FAS Administration serves as the senior financial advisor to Harvard College and FAS Administration and Finance divisional leadership, with responsibility for financial oversight across all departments and centers in the division and all fund types. Reporting to the Chief Financial Officer, this role leads divisional budgeting and forecasting in partnership with the Financial Planning and Analysis team, supports strategic decision-making, and ensures alignment with Faculty of Arts and Sciences (FAS) financial policies and planning processes. The incumbent plays a key role in advancing financial strategy and stewardship at the divisional level.   Job-Specific Responsibilities: Budgeting and Financial Planning Lead the development and management of the division's annual budget and multi-year financial forecasts Monitor financial performance and analyze budget-to-actual variances; communicate findings and...

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 is core to how we drive Responsible Growth. This includes our commitment to being an inclusive workplace, attracting and developing exceptional talent, supporting our teammates’ physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve. Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations. At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us! Delaware Trust...