2105 compliance officer jobs found

Location: For Those Who Work At Home, Washington Job Summary The Compliance Officer plays a key role in ensuring Key Investment Services LLC meets regulatory and internal standards. The primary responsibility is conducting branch inspections, though this role also involves providing compliance training, drafting and updating policies, providing advice and guidance to business partners, investigating potential fraud and elder abuse claims, and supporting other compliance projects. This position requires strong analytical skills, clear communication, and the ability to manage multiple priorities in a dynamic environment. About Key Investment Services LLC KIS is a retail dual registered fully disclosed introducing broker/dealer and investment adviser that is non-banking affiliate of KeyBank National Association and a subsidiary of KeyCorp, a federally registered bank holding company.  KIS also offers insurance products in conjunction with an affiliated insurance agency...

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...

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 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: 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 As part of Key’s second line of defense Compliance Risk Management function, the Risk Evaluation and Assurance Program (the “REA Program”) has the responsibility for evaluating Key’s ongoing compliance with applicable laws and regulations through the execution of compliance and operational risk monitoring and testing across Key’s lines of business, products, and functional activities. Individuals in this role assist in the design and execution of operational risk testing and continuous monitoring. Individuals work both autonomously on assignments and in collaboration with other members of REA team on projects and testing. The ideal candidate has a functional knowledge of consumer finance operations and products, experience in testing/auditing, and a passion for continuous learning and challenging the status quo. Essential Job Functions Serve on a team of risk evaluation and assurance professionals, working...

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...

Plan and provide professional nursing services and patient care for students, staff, and faculty. Ensure compliance with clinicians’ orders and follow established nursing processes, including patient assessment, nursing diagnosis, planning, intervention and evaluation. Under the supervision of the Nurse Leader, the Registered Nurse at HUHS works collaboratively with the members of the health care team to support the delivery of care including health maintenance, episodic, acute and chronic care to the adolescent, adult, and older adult population of the University Community. The Registered Nurse utilizes evidence to drive clinical decisions and practice related to individual and population health according to department guidelines, policies and procedures. The Registered Nurse also assists and provides coverage and support to other clinical areas at HUHS as needed. Job-Specific Responsibilities: Clinical Practice and Quality of Care  Assesses and systemically collects any...

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...

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...

Your work days are brighter here. We’re obsessed with making hard work pay off, for our people, our customers, and the world around us. As a Fortune 500 company and a leading AI platform for managing people, money, and agents, we’re shaping the future of work so teams can reach their potential and focus on what matters most. The minute you join, you’ll feel it. Not just in the products we build, but in how we show up for each other. Our culture is rooted in integrity, empathy, and shared enthusiasm. We’re in this together, tackling big challenges with bold ideas and genuine care. We look for curious minds and courageous collaborators who bring sun-drenched optimism and drive. Whether you're building smarter solutions, supporting customers, or creating a space where everyone belongs, you’ll do meaningful work with Workmates who’ve got your back. In return, we’ll give you the trust to take risks, the tools to grow, the skills to develop and the support of a company invested in...

Senior Associate, Digital Designer and Storyteller - C&O Associate Insight, Media and START Team (Hybrid) At Capital One, we’re building a leading information-based technology company to be the bank of the future. Founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking.  In the Retail Bank, we want banking with Capital One to be simple, easy, and convenient from the moment a customer interacts with us, whether in-person, digitally or by phone. The Channels Experience and Strategy (CXS) team within Retail Bank is committed to building seamless, cross-channel experiences that earn customers’ trust and their confidence in Capital One. In partnership with the CXS Chief of Staff Team, the Associate Insight, Media and START (AIMS) Team provides simple, compelling, and engaging multimedia experiences to help associates feel supported,...

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...

Location: For Those Who Work At Home, Vermont Position Location Policy General Location: Vermont, Buffalo, NY or Albany, NY, highly preferred. Covering the Vermont portfolio. Hybrid Requirement (if within specific cities): If the selected candidate resides near KeyBank office (non-branch location), they are expected to work on-site 2 days per week. Hours: 8-5pm EST Job Summary Sr Relationship Officer, Commercial Banking is the line of business (LOB) professional dedicated to providing support for designated Commercial Banking Relationship Team. They facilitate service requests for an assigned book of clients within Key's Commercial Banking line of business. Works within an aligned Services Team that is committed to overall excellence in servicing and mitigating risk in all aspects of the client relationship, including loan and deposit accounts. Essential Functions Works in tandem with Relationship Managers, Credit partners and NSF team to ensure...

Location: 1301 5th Avenue, Seattle Washington Job Summary The Senior Relationship Manager (or Sr Banker) serves as the Trusted Advisor for clients and prospects who are primarily active commercial real estate owners, investors and developers. Sr Relationship Managers provide comprehensive financial advice and solutions that enable the clients to meet their financial objectives and utilize the full breadth of Key's product platform which includes traditional bank products and capital markets executions. Sr Relationship Managers also drive the financial performance of the team through profitable revenue growth, active portfolio management and a strong risk management discipline by selectively targeting and developing new business relationships while actively deepening existing client relationships. Essential Functions Serves as Trusted Advisor to clients by developing a clear and holistic understanding of the client or prospect’s business through analysis of their...

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...

Hiring Range: $22.74 - $36.55 The posted salary range reflects Eastern’s expected hiring range. Actual pay may vary based on experience, skills, and market factors; additional compensation may apply. Eastern offers a robust benefits and retirement package. Please see the description of benefits included with this job posting for additional information. Responsible for monitoring and testing branch policies, procedures and compliance activities ensuring operational consistency throughout the Retail Branch Network.  Performs branch visits to assess compliance and resolves non conformances. Responsible for providing operational support for branch staff and internal departments on said policies and procedures. Serves as the first line of response for branch inquires for assistance with policies and procedures and other operational procedures. Responsibilities: Responsible for supporting the Retail Operations Specialist Support line and email account by providing answers 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 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...

Reporting to the Chief Administrative Officer, the Chief Human Resources Officer (CHRO) is Harvard Graduate School of Education (HGSE)’s senior HR leader and the institutional architect for how the School recruits, compensates, develops, and supports its workforce. The CHRO works closely with the Dean’s Office, the Chief Administrative Officer, the Chief People Officer (CPO), and the senior leadership team to ensure HR operations, compliance, and workforce strategy are executed with rigor, equity, and excellence. As HGSE’s lead expert on employment law, university policy, and HR risk, the CHRO ensures that HR practices are legally sound, equitable, and aligned with university standards, and that the School rests on a scalable, compliant, and data-driven HR foundation. The CHRO also leads the responsible adoption of AI across HR operations so that emerging technologies enhance efficiency, insight, and decision-making while maintaining ethical and compliant practices. The CHRO...

Location: 4900 Tiedeman Road, Brooklyn Ohio 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 accounts...