Senior Compliance & Ethics Officer Job at Robert Half (Dallas)

Senior Vice President – Anti-Money Laundering Compliance Risk Management (ACRM) Senior Officer – Asia South Markets

The Anti-Money Laundering (AML) Risk Management (ACRM) Senior Lead Analyst is se...

Location

Singapore , Singapore

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

10+ years of relevant experience
Anti-Money Laundering (AML) certification
Experience in managing regulatory exams and relationships with examiners and auditors
Extensive knowledge of appropriate regulatory requirements including local and United States (US) laws, international and industry standards
Extensive knowledge of AML regulations, risks, and appropriate controls
Demonstrated analytical skills
Demonstrated leadership and motivational skills
Ability to work with regional and global partners, and influence and lead people across culture and senior level
Bachelor’s degree/University degree or equivalent experience
Master’s degree preferred

Job Responsibility

Execute and implement firm-wide AML risk management policy and strategic direction
Maintain AML compliance program for the business including assessment of risks and the development of policies, procedures, and governance
Identify and assess risk, vulnerabilities, and opportunities for efficient and effective risk coverage
Work within team and across business/functional line management to assess complex issues, structure potential solutions, and drive effective resolution within permissible statutory and regulatory frameworks
Analyze data, prepare and present regional/global reports related to AML risk assessments
Monitor AML related issues and escalations with senior management and global partners
Evaluate and respond to escalated matters, further escalate as required, and advise senior management on next steps as needed
Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency

What we offer

We believe all parents deserve time to adjust to parenthood and bond with the newest members of their families. That’s why in early 2020 we began rolling out our expanded Paid Parental Leave Policy to include Citi employees around the world
We empower our employees to manage their financial well-being and help them plan for the future
We have a variety of programs that help employees balance their work and life, including generous paid time off packages

Fulltime

New

Senior Compliance Officer

Aramex is seeking an experienced and detail-oriented Senior Compliance Officer t...

Location

Salary:

Not provided

Aramex

Expiration Date

Until further notice

Requirements

Bachelor's degree in Business, Engineering, or related field
3–4 years of experience in compliance roles, ideally with exposure to both transactional and third-party risk management
Strong working knowledge of regulatory compliance and expectation, ethics, and corporate governance
Proven experience in managing projects and time management
Confident communicator with sound judgment and problem-solving skills

Job Responsibility

Oversee and review the work of compliance officers and analysts
Lead complex due diligence cases and high-risk transactional reviews
Provide guidance and quality checks on compliance screenings and investigations
Make informed decisions within defined risk thresholds, escalating where necessary
Manage and timely deliver compliance projects and initiatives
Collaborate with various internal departments to ensure consistent compliance practices
Contribute to improving internal processes and identifying compliance risks
Participate in training, onboarding, and mentoring new team members

Senior Compliance Officer

This is an exciting opportunity to join our dynamic RBC BlueBay Compliance Advis...

Location

United Kingdom , London

Salary:

Not provided

Brewin Dolphin

Expiration Date

Until further notice

Requirements

Expertise in UK, EU and US regulations relevant to asset management
Expertise in the investment fund industry, including proven experience with UCITS and Alternative products
Strong knowledge of investment compliance, including investment borrowing limits, portfolio compliance monitoring, and fund restriction management
Demonstrable experience with conflicts clearance processes and managing conflicts of interest in an investment management environment
Proven experience with wall-crossing procedures, managing restricted lists, and handling material non-public information in accordance with market abuse regulations
Expertise in UK/EU regulatory environments, and FCA Handbook rules
Minimum of 5 years of experience in a role requiring knowledge of UK, EU and SEC regulation and legislation applicable to Asset Management
Excellent attention to detail and organizational abilities
Strong work ethic, positive, pro-active and adaptable attitude
Strong interpersonal and communication skills

Job Responsibility

Provide expert regulatory advice UK/EU UCITS and Alternatives funds
Provide expert regulatory advice on US 40 Act Funds
Support the compliance team in maintaining the Restricted List of issuers on which BlueBay may hold inside information, including managing wall-crossing, pre-sounding of new issues, review of Investment Management Agreements and Confidentiality Agreements
Complete periodic compliance certifications for clients in accordance with IMA reporting obligations
Conduct conflict checks on potential investment opportunities and escalate identified conflicts to the line manager for discussion and resolution
Provide advice on ESG, Responsible Investment and Taxonomy matters
Drive the alignment and integration with enterprise standards
Drive efficiencies and enhancements to existing Compliance controls and framework
Development, review and maintenance of robust Compliance Policies and Procedures for RBC BlueBay UK
Assist with the delivery of Compliance Management Information for periodic reports to the Board and Committees

What we offer

Bonuses
Flexible benefits
Competitive compensation
Leaders who support your development through coaching and managing opportunities
Opportunities to work with the best in the field
Ability to make a difference and lasting impact
Work in a dynamic, collaborative, progressive, and high-performing team
A world-class training program in financial services
Flexible working options fully supported

Fulltime

Senior Compliance Officer

We have an excellent opportunity to join an established and growing Dublin-based...

Location

Ireland , Dublin 1

Salary:

Not provided

Solas IT Recruitment

Expiration Date

Until further notice

Requirements

Expertise of Compliance laws, rules, regulations, risks and typologies
Excellent written, verbal and analytical skills
Must be a self-starter, flexible, innovative and adaptive
Highly motivated, strong attention to detail, team oriented, organized
Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
Ability to work collaboratively with regional and global partners in other functional units
ability to navigate a complex organization
to influence and lead people across cultures at a senior level
Experience in managing regulatory exams and relationships with examiners, auditors, etc.
Awareness of regulatory requirements including local and US laws, international and industry standard

Job Responsibility

Designing, developing, delivering and maintaining best-in-class Compliance, programs, policies and practices for ICRM
Translates ICRM strategy and goals across Citi’s clients, products and geographies in a succinct and clear manner
provide direction and guidance on the programs
Serving as a subject matter expert on Citi’s Compliance programs
Provides expert guidance on function/business/product regulations on a real-time basis to manage compliance risk
Staying abreast of relevant changes to rules/regulations and other industry news including regulatory findings
Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the supported function/business/product
Analysing and scoping the impact of new and complex regulatory developments across senior function/business/product, including cross-border impact
Advising ICRM and function/business/product management and personnel on regulatory and compliance issues and provide credible challenge
Participating in industry groups and trade association working groups or other forums

Senior Investigator, Ethics & Compliance

We’re looking for someone that’s passionate about fostering a speak up culture a...

Location

United States

Salary:

86800.00 - 117600.00 USD / Year

RemotivateJobs

Expiration Date

Until further notice

Requirements

Bachelor's Degree or equivalent relevant experience
Minimum of 5-7 years HR generalist, HR investigations, or other specialized investigations experience
Experience with employment-related laws, regulations, and procedures
Demonstrated experience in planning, conducting, and leading investigations
Ability to develop and maintain positive working relationships with cross-functional partners
Experience with hotline case management systems
Strong PC skills and proficiency in Microsoft Office including Word, Excel, PowerPoint, and Outlook
Willingness to travel domestically and internationally if needed
Bilingual (e.g., Spanish) a plus

Job Responsibility

Developing investigation plans and conducting investigations
Performing intake and analysis of allegations of suspected and/or reported violations of Company policy or the Code of Conduct
Gathering background information from relevant partners and resources
Collecting and analyzing evidence
Conducting investigative interviews with care and empathy
Collaborating with key partners during reviews and presentations of investigative findings
Writing investigation reports that efficiently and effectively summarize the allegations and investigation effort
Conducting root cause analysis and identifying control gaps
Assessing trends and identifying patterns across similar investigations
Conducting periodic check-ins with investigation participants to collect feedback on the investigations process

Fulltime

Senior Director, Culture, Ethics and Compliance

Location

United States , Atlanta

Salary:

Not provided

Genuine Parts Company

Expiration Date

Until further notice

Requirements

Bachelor's degree in Human Resources, Business, Public Administration, or related field required
Master's degree preferred
At least 10 years of related experience required, including three years of management experience
SHRM-SCP preferred
Knowledge and deep understanding of laws, regulations, and statutes related to employment and HR compliance nationally
Experience designing, creating, implementing, and managing employee relations process and programs
Experience designing/implementing HR compliance and employee relations processes and systems that work at scale
Effective written and verbal communications skills in a fast-moving environment
Demonstrated sound judgment when working through complex, confidential issues
Ability to develop and maintain positive relationships with employees, officials, directors, and other stakeholders

Job Responsibility

Serves as the ER Compliance subject matter expert across USAG
Counsels employees on concerns related to applicable Equal Employment Opportunity laws including Title VII, the Americans with Disabilities Act, the Age Discrimination in Employment Act, and other similar federal and state laws
Leads and facilitates the employee relations program and related functions
Leads the management, communication and updates to HR policies and procedures
Act as an expert advisor to HR team colleagues and point of escalation on compliance concerns, process gaps and actions from HRBPs
Ensures compliance with human resource policies and procedures including code of conduct and policy rollout
Maintains, develops, recommends, and implements program objectives, policies, and procedures. These programs include non-unionization efforts including continuous education for key Managers
Communicates with employees regarding employee relations concerns
provides guidance and recommendations for resolution of issues
Experience with developing and delivering effective ER, Compliance presentations, and training materials to a variety of audiences in a fast paced, high growth environment

Fulltime

Cyber Risk Senior Officer - Senior Vice President

Location

United States , Irving

Salary:

156160.00 - 234240.00 USD / Year

Citi

Expiration Date

Until further notice

Requirements

10+ years relevant experience
Practical experience working in, assessing, or challenging security architecture, infrastructure security, network security, cloud security, cyber resilience or data protection
Deep knowledge of products within the coverage area, including a technical understanding of current and emerging trends as well as the ability to apply in-depth understanding of the business impacts of technical contributions
Experience in cyber risk assessments, metrics, enterprise technology services, risks, and controls within globally complex, dispersed, and diverse organizations
In-depth knowledge of cyber risks and controls across various information system architecture and engineering domains including: data protection, identity and access management, vulnerability management, network security, endpoint security, logging and monitoring, incident management, cyber resilience and third-party management
preferred expertise in security architecture, cloud security, and emerging technologies (including Artificial Intelligence and Digital Assets)
Subject matter expert in one or more industry standard risk management frameworks (including ISO27001, COBIT, TOGAF and CRI for example), and an in-depth understanding of cyber risk mitigation strategies
Outstanding communication and influencing skills through all levels of the organization and with external partners and vendors
Exceptional relationship management skills
must be able to address and resolve conflict while maintaining relationships

Job Responsibility

Manages internal projects on threat issues that support a variety of participants and stakeholders measuring the effectiveness and comprehensiveness of Citi’s first line defenses
Establishes and oversees the application of compliance and cyber policies and procedures, technology and tools, and governance processes to provide credible challenge for minimizing losses from cyber risks
Independently assesses cyber risks and drive actions to address the root causes that persistently lead to operational risk losses by challenging both historical and proposed practices
Leads independent assurance activities to assess areas of concern including substantive and controls testing
Monitors, evaluates, and challenges Key Risks and associated Key Risk Indicators triggers and thresholds
Also lead discussions with Key Indicator owners on breaches and action steps to correct breaches
Identifies potential risks associated with program/project delivery on a technical and detailed level
Leads various second line of defense cyber assessments including risk assessments, control assessments, maturity assessments etc
Assesses cyber risks associated with new initiatives and programs being proposed for implementation
Challenges the design, adequacy and strength of the control environment associated to technology and cyber and recommends actions to ensure the operational risk profile is in line with the cyber risk appetite

What we offer

medical, dental & vision coverage
401(k)
life, accident, and disability insurance
wellness programs
paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays

Fulltime

Anti-Bribery and Corruption Senior Officer, Senior Vice President

Citi’s Independent Compliance Risk Management (ICRM) is an independent control f...

Location

India , Mumbai

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Minimum 7–10 years of experience in anti-bribery and corruption compliance, legal, or financial crime risk management within a global financial institution, regulatory body, or leading law/consulting firm
Proven track record of leading ABC reviews or investigations of complex cross-border banking deals
Bachelor’s degree (law, compliance, finance, or related discipline)
Advanced degree (LLM, MBA, or equivalent) is a bonus
In depth understanding of global anti-bribery regulations (FCPA, UK Bribery Act, OECD Convention, local laws)
Ability to assess bribery risks in SOE engagements, project finance, and capital markets deals
Strong analytical, written, and verbal communication skills, with proven ability to present complex issues to senior stakeholders
Skilled at influencing, negotiating, and partnering across functions and geographies
Strategic thinker with strong execution skills
Highly motivated, proactive, and adaptable leader

Job Responsibility

Leadership of Global ABC Deal team: lead a team of specialists reviewing banking transactions, providing robust anti-bribery risk identification, assessment, and mitigation
Program design and execution: develop, enhance, and maintain Citi’s global ABC compliance program and risk management framework
Subject Matter Expertise: serve as a global SME on bribery and corruption risks in complex financial transactions
Risk oversight: provide independent oversight and credible challenge to business decisions
Regulatory monitoring: monitor and interpret global regulatory developments
Governance & reporting: drive high-quality risk reporting, thematic reviews, and global assessments
Stakeholder collaboration: partner with senior leaders across ICRM, Legal, Banking, and Risk
Culture and training: promote a strong culture of ethical conduct and awareness of ABC risks

What we offer

Extensive on-the-job training and exposure to senior leaders
Resources to meet your unique needs
Empower you to make healthy decision and manage your financial well-being to help plan for your future

Fulltime

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Senior Compliance & Ethics Officer

Job Description

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