A company is looking for a Chief Compliance Officer to ensure adherence to laws, regulations, and industry standards while promoting a culture of integrity. ...
Our client is seeking an experienced Compliance Officer with a strong background in the broker-dealer industry to oversee their compliance program. Risk Assessment: Conduct regular risk assessments and compliance audits to identify and mitigate potential compliance risks. Training and Education: Des...
A company is looking for a Senior Compliance Professional to serve as the designated Regulatory Compliance contact for the Indiana Medicaid contract. ...
Wells Fargo is seeking a Lead Compliance Officer in Corporate Risk as part of Compliance. Lead Compliance Officer Swap Dealer**. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively follo...
A company is looking for a Chief Compliance Officer for their Swap Dealer operations. ...
Our client is seeking an experienced Compliance Officer with a strong background in the broker-dealer industry to oversee their compliance program. Risk Assessment: Conduct regular risk assessments and compliance audits to identify and mitigate potential compliance risks. Training and Education: Des...
As the Senior Lead Compliance Officer, you will be responsible for the Bank Holding Company Act (BHCA), Merchant Banking Authority (MBA), and Permissible Investments Compliance which includes serving as the Enterprise Compliance Officer for the aforementioned bank regulations. Senior Lead Compliance...
Experience in conducting investigations, analyzing basic business operations, verifying compliance with specific laws or activities in the petroleum industry. Experience analyzing complex business operations, verifying compliance with fuel tax laws or activities in the petroleum industry. ...
As a Compliance Officer, you will be responsible for ensuring that the company and its employees comply with internal policies and external regulations. You will conduct audits, assess risk, and implement compliance programs to mitigate legal and regulatory risks. Develop and implement compliance po...
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...
Our client is seeking an experienced Compliance Officer with a strong background in the broker-dealer industry to oversee their compliance program. Risk Assessment: Conduct regular risk assessments and compliance audits to identify and mitigate potential compliance risks. Training and Education: Des...
As a Compliance Officer, you will be responsible for ensuring that the company and its employees comply with internal policies and external regulations. You will conduct audits, assess risk, and implement compliance programs to mitigate legal and regulatory risks. Develop and implement compliance po...
May manage other Compliance teammates and serve as mentor to other Compliance Officers and Analysts. Lead or assist in leading compliance initiatives necessary in implementing changes. Analyze and provide guidance on complex compliance actual and emerging risk scenarios within business units and/or ...
The Deputy Compliance Officer role supports the Chief Compliance Officer (CCO) in managing the Compliance function and will be responsible for providing guidance and oversight across the broker dealer’s compliance management program, ensuring that teams are proactively understanding regulatory requi...
May manage other Compliance teammates and serve as mentor to other Compliance Officers and Analysts. Lead or assist in leading compliance initiatives necessary in implementing changes. Analyze and provide guidance on complex compliance actual and emerging risk scenarios within business units and/or ...
Provide oversight and monitoring of business group risk based compliance programs Maintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple business lines Establish, implement and maintain risk standards and programs to drive compliance ...
Track and reports on compliance with cyber regulatory requirements. Lead efforts to prepare and inventory responses for IT security questions from regulators, AIG customers and other business affiliates as appropriate and in close coordination with the Head of Governance, Risk and Compliance. Abilit...
This position is a great entry point for applicants who are interested in a career in compliance. The Associate Agency Supervisory Officer will be part of a team responsible for monitoring and adhering to all Company and Regulatory rules and regulations. This individual will work closely with the Su...
In collaboration with front line, business and horizontal aligned compliance officers, risk type teams and other compliance teams, develop analytical strategies, perform analytical support regarding the enhancement of the compliance risk measures. Compliance Risk Measurement, which executes Complian...
As a Compliance Officer, you will be responsible for ensuring that the company and its employees comply with internal policies and external regulations. You will conduct audits, assess risk, and implement compliance programs to mitigate legal and regulatory risks. Develop and implement compliance po...
Reporting directly to the Commercial Operations Director, the Facility Security and Compliance Officer will manage site security planning, compliance, and coordination in accordance with the US Government and corporate requirements. Maintain compliance with all U. Provide oversight to ensure complia...