A company is looking for a Compliance Officer II to oversee and administer compliance programs within the business unit. ...
Responsible for preparing, reviewing and submitting to the Agency new ANDAs, NDAs, DMFs INDs, Supplements (PAS, CBE-30, CBE) and responses to FDA’s deficiencies pertaining to submissions.In addition, Senior Regulatory Affairs Associate is responsible for supporting a variety of activities in the dep...
A company is looking for a Senior Compliance Professional to serve as the designated Regulatory Compliance contact for the Indiana Medicaid contract. ...
This position provides technical and professional compliance expertise and advice to leadership, regional support teams, employees, committees and affiliates regarding current and emerging federal, state and local and internal healthcare compliance-related issues consistent with the system-wide Comp...
A company is looking for a Senior Compliance Officer specializing in ETFs and SMAs. ...
The Chief Compliance Officer & Head of Regulatory will lead CLEARs Compliance & Regulatory teams within Legal while working with teams across the company to build products & programs consistent with global laws & regulations. Oversee an effective compliance program per DOJ & SEC guidance, including,...
Compliance Officer – Investment Bank Compliance – Origination & Advisory – Capital Markets. Provide regulatory/compliance training; assist the Business in implementing and documenting various supervisory/control mechanisms. Support the global compliance monitoring program by providing input on the f...
Key Responsibilities:Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements. Key Internal Contacts:The employee will most likely interact on a regular basis with the Client On Boarding group, Front Office personnel, Head Offi...
Large broker dealer located in Midtown Manhattan or Los Angeles looking to add a “VP – Capital Markets Compliance Officer” to their team. Assist with the design and execution of regulatory compliance testing for Capital Markets business; test compliance with policies and standards and identify key r...
Compliance Officer – Head of Origination & Advisory – Director. As the Compliance Officer – Head of Origination & Advisory Director, you will lead a team and focus on providing real-time support to the Origination & Advisory (O&A) Coverage business. Provide regulatory/compliance training. Perform te...
Our client, a leading investment management firm, is seeking an accomplished Deputy Chief Compliance Officer and Counsel to join their Legal and Compliance team. Position Overview - Deputy Chief Compliance Officer:. Responsibilities as the Deputy Chief Compliance Officer include:. Qualifications for...
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...
NYC Aging seeks a highly motivated Senior manager with broad-based experience in compliance, internal and external audit, financial reporting and programmatic fiscal processes to serve as Chief Compliance Officer. Reporting to the Chief Financial Officer, with additional accountability to the First ...
Reporting to the Head of Compliance and GFC - MENA and working closely with Compliance Officer in Morgan Stanley Saudi Arabia, the individual will assume a number of responsibilities in Compliance and Global Financial Crimes (GFC) department. Working with the MENA Head of Compliance to deliver the a...
Monitor compliance with cybersecurity policies and procedures within the IT environment and enforce consequences for non-compliance as necessary. Compliance: Ensure compliance with relevant regulatory requirements such as NIST (-53, -, CSF) HIPAA, PCI DSS, Directive 1, etc. Coordinate with legal and...
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. ...
The Senior Compliance Officer - Institutional Sales Coverage position sits in DWS Business Line Compliance (“DWS” Compliance). The Senior Compliance Officer - Institutional Sales Coverage will assist the Chief Compliance Officer in developing and administering the policies and procedures of the Sale...
The Assistant General Counsel and Compliance Officer reports directly to the General Counsel and is a key member of the Trust’s legal and compliance department. The Assistant General Counsel and Compliance Officer will assist in managing the Trust’s legal matters, focusing on compliance, ethics, con...
It is part of the Global CMG function within the Investment & Corporate Banking Regulatory Compliance (“ICBRC”) group for CACIB worldwide. ...
Support the Compliance Division in formulating and performing a periodic review of key Compliance policies and controls to ensure that they remain robust and in line with regulatory standards and industry/peer best practices. These policies are in GIC’s Compliance Manual and Code of Ethics, includin...
In addition, the individual will provide assistance to the Chief Legal Officer & Chief Compliance Officer in compliance and legal functions and act as the Healthcare System’s HIPAA Privacy Officer. The Audit and Compliance Manager and HIPAA Privacy Officer is responsible to conduct internal, financi...
Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading – Rates. Provide regulatory/compliance training; assist the Business in implementing and documenting various supervisory/control mechanisms. Support the global compliance monitoring program by providing input on the frame...
Management and Reporting:The Fixed Income Compliance officer reports directly to the US Head of Global Markets Regulatory Compliance Monitoring & Surveillance. Summary:The Fixed Income Compliance Officer is responsible for day-to-day monitoring and surveillance of the Global Markets Division (“G...