This team focuses on several key compliance risk types, including consumer compliance, investment banking related compliance, conduct, regulatory compliance, reputation, strategic, and technology risk. Managing compliance-driven initiatives and/or processes which require close partnership with compl...
The Chief Compliance Officer (CCO) will assume primary responsibility for assuring the Broker-Dealer and Hedge Funds’ compliance with FINRA, SEC and Federal and State rules/regulations as well as all other Federal statutes and trends. Help design and implement the Broker-Dealer compliance program, e...
Serve as the audit liaison for Compliance cover a number of topics including but not limited to:conducting monthly Compliance/IAD touch points; participating in all Compliance related audit Reviews to ensure Compliance is meeting IAD expectations and timelines and provide consistent messaging to Com...
Reporting to the Chief Compliance Officer, the Healthcare Business Associate Compliance Officer, ensures that the Company’s compliance processes are implemented consistently and effectively across the organization. As the compliance leader and subject matter expert, the CO is responsible for establi...
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...
Reporting to the Chief Compliance Officer, the. Deputy Chief Compliance Officer. The Deputy leads the three regional compliance officers who are responsible for implementing and monitoring operational components of the network Program. Deputy Chief Compliance Officer. ...
The Compliance Anti Money Laundering Risk Management Officer is a senior professional level role responsible for establishing internal procedures to prevent money laundering and assist in all matters concerning financial crimes in coordination with the broader Anti-Money Laundering (AML) team. Devel...
Serves as a compliance risk officer for Surveillance Intelligence Unit (SIU) within Independent Compliance Risk Management (ICRM)’s Surveillance and Employee Compliance team responsible for the design, implementation, and oversight for controls and solutions supporting Surveillance, Employee Complia...
Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for reviewing transactions and identifying potential conflicts of interest. Partnering with other ICRM teams and global functions, including Legal, Risk, Operations and ...
Serves as a compliance risk officer for Surveillance Intelligence Unit (SIU) within Independent Compliance Risk Management (ICRM) Surveillance and Employee Compliance team responsible for the design, implementation, and oversight for controls and solutions supporting Surveillance, Employee Complianc...
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. ...
Serves as a compliance risk officer for Surveillance Intelligence Unit (SIU) within Independent Compliance Risk Management (ICRM)’s Surveillance and Employee Compliance team responsible for the design, implementation, and oversight for controls and solutions supporting Surveillance, Employee Complia...
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...
Due to the growth, Paragon Staffing, LLC is looking for an Health and Safety Compliance Officer to join our team! Roles and Responsibilities Ensure that all Health & Safety policies, procedures, rules and regulations are adhered to and are regularly reviewed, updated and communicated. ...
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...
The Compliance Officer will assist with various aspects of the Advisors’ Compliance programs. Corporate Compliance partners with diverse business units to develop and implement robust compliance programs, fostering integrity and minimizing risk. Compliance Officer to provide support to New York Life...
Ability to analyze various compliance problems or regulations and develop effective solutions in conjunction with the Chief Compliance Officer. Masters Degree and additional education such as having attended the ICB/ABA Graduate Compliance School, Institute of Certified Bankers/American Bankers Asso...
The Compliance Anti-Money Laundering (AML) Risk Management Senior Officer is a senior level position responsible for establishing internal procedures to prevent money laundering and assist in all matters concerning financial crimes in coordination with the broader AML team. Maintain AML compliance p...
Fun Chief Compliance Officer - HYBRID. This position will act in the capacity of Chief Compliance Officer for certain investment company clients. Primary responsibility will be to ensure fund and service providers’ compliance with Rule 38a-1 of the Investment Company Act of 1940. Oversee maintenance...
Fun Chief Compliance Officer - HYBRID. This position will act in the capacity of Chief Compliance Officer for certain investment company clients. Primary responsibility will be to ensure fund and service providers' compliance with Rule 38a-1 of the Investment Company Act of 1940. Oversee maintenance...
Perform Compliance due diligence for mergers and acquisitions. Assist the Fair Banking Director in developing compliance review programs. Assist lending staff in compiling and analyzing HMDA compliance metrics, drafting summary reports and recommendations associated with that analysis, and reporting...
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...
Fidelity Compliance, a 600-person organization, is accountable for business unit compliance strategy and oversight in addition to providing enterprise services and policies regarding Ethics, Digital Compliance practices, Anti-Money Laundering. As the leader of the Compliance team for Fidelity Digita...
Provide ideas for the enhancement of the compliance testing program, monitoring plan, and industry research, leveraging Compliance advisory. Compliance Testing Program, a critical program element of the U. Regulatory Compliance Management (RCM) framework for RBC Combined U. Leading compliance testin...