Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management...
The Compliance Officer is responsible for ensuring that the healthcare practice adheres to regulatory requirements and internal policies. This role involves monitoring compliance efforts, conducting audits, and providing training to staff to promote a culture of compliance. Develop, implement, and m...
Manage and review quarterly compliance reporting and findings to the Chief Compliance Officer and Board of Trustees. At the direction of the Chief Compliance Officer, assist in various compliance related matters. Deputy Chief Compliance Officer. We are a trusted Financial Services company that needs...
Reporting directly to the General Counsel, the Chief Compliance Officer will develop, implement, and monitor effective compliance programs and policies to ensure the company’s adherence to relevant laws, regulations, and ethical standards. EXCLUSIVE — Our client, a leading, public, technology manufa...
Our fast-paced Compliance team is looking for a Compliance Monitoring Officer with experience in performing compliance and risk quality assurance monitoring procedures in the payments and/or finance industry. Compliance Monitoring Officer (Audit, QA, Risk Assessment, Testing). Collaborate with the c...
Partner with the Compliance Team to drive IMC's regulatory vision and compliance efforts. The Compliance Analyst - AML (Anti-Money Laundering) is responsible for ensuring that the organization complies with all applicable laws, regulations, and internal policies related to the detection and preventi...
Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management...
The Compliance Officer is responsible for ensuring that the healthcare practice adheres to regulatory requirements and internal policies. This role involves monitoring compliance efforts, conducting audits, and providing training to staff to promote a culture of compliance. Develop, implement, and m...
The CAO role is one of a seasoned multi-disciplinary expert with extensive business and industry knowledge related to risk management and compliance focused on the execution of the Financial Crimes Compliance strategic direction. Under general supervision, the Chief Administrative Officer (“CAO”) is...
The Compliance Officer is responsible for ensuring that the healthcare practice adheres to regulatory requirements and internal policies. This role involves monitoring compliance efforts, conducting audits, and providing training to staff to promote a culture of compliance. Develop, implement, and m...
Manage and review quarterly compliance reporting and findings to the Chief Compliance Officer and Board of Trustees. At the direction of the Chief Compliance Officer, assist in various compliance related matters. Deputy Chief Compliance Officer. We are a trusted Financial Services company that needs...
The Senior Compliance Officer will support our culture of compliance while supporting our mission of helping DWS grow and service our clients. Senior AFC & Compliance Officer - Alternatives. The Senior Compliance Officer will support the Illiquids Alternative business lines in the Americas and provi...
The Chief Compliance Officer (“CCO”) is ultimately responsible for the compliance functions of the RIA, Oxford Financial Group, LLC (“Oxford”) and the commodity pool operator. The person who is in this role may also serve as a BSA Officer of the Trust Company of Oxford (“TCO”), but is not an officer...
We are currently seeking a highly skilled and experienced Compliance Officer to oversee the Bank Secrecy Act (BSA) / Anti-money Laundering (AML) / Customer Identification Program (CIP) / Office of Foreign Asset Control (OFAC) / and Suspicious Activity Reporting (SAR) compliance programs, as well as ...
We are currently seeking a highly skilled and experienced Compliance Officer to oversee the Bank Secrecy Act (BSA) / Anti-money Laundering (AML) / Customer Identification Program (CIP) / Office of Foreign Asset Control (OFAC) / and Suspicious Activity Reporting (SAR) compliance programs, as well as ...
The successful candidate will report to the Chief Compliance Officer of 50 South and also the Alpha Strategies Fund, a registered closed-end fund managed by 50 South. This position is part of Northern Trust’s Asset Management (“NTAM”) Compliance team, led by the Head of Compliance for Asset Manageme...
This position is part of the Compliance Program Management team providing direct consumer compliance oversight and support of all marketing and advertising, including marketing efforts of the mortgage lending team. Assist the AVP Regulatory Change Management with oversight of the compliance change c...
The Compliance Officer – FCM Advisor provides compliance advisory services for the FCM (futures commission merchant) entity as well as related IBs (introducing brokers), GIBs (guaranteed income bonds), and swap dealers. Compliance and Compliance Officers play a crucial role in ensuring th...
Manage and review quarterly compliance reporting and findings to the Chief Compliance Officer and Board of Trustees. At the direction of the Chief Compliance Officer, assist in various compliance related matters. Deputy Chief Compliance Officer. We are a trusted Financial Services company that needs...
The successful candidate will be the compliance program lead working closely with other employees of the compliance department, business partners, legal team, portfolio management and operations teams, and other service providers and stakeholders on the daily administration of the compliance program...
We are currently seeking a highly skilled and experienced Compliance Officer to oversee the Bank Secrecy Act (BSA) / Anti-money Laundering (AML) / Customer Identification Program (CIP) / Office of Foreign Asset Control (OFAC) / and Suspicious Activity Reporting (SAR) compliance programs, as well as ...
Family and Medical Leave Act ; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision ....
Broker dealer located in Chicago looking to bring on board a “Compliance Officer -FCM Advisor” to join their team. Support the Head of FCM Compliance by providing Compliance Advisory services to FCM (futures commission merchant) business line. Collaborate to ensure Compliance Calendar deadlines are ...
The Compliance Officer is responsible for ensuring that the healthcare practice adheres to regulatory requirements and internal policies. This role involves monitoring compliance efforts, conducting audits, and providing training to staff to promote a culture of compliance. Develop, implement, and m...
The President and Chief Compliance Officer, for BDO Capital Advisors, LLC will serve dual roles in leading the organization’s investment banking subsidiary and managing its operational and compliance functions. The President and Chief Compliance Officer will work on building, implementing, and overs...