Our client, a financial services firm in the Glen Mills, PA area, is seeking a Compliance Director to join their growing team. This role will act as an outsourced Chief Compliance Officer by supporting the administration of compliance for clients including Registered Investment Advisors, Funds and B...
The Senior Director of Global Transparency and Compliance Assurance is responsible for assisting the Compliance Officers and the Chief Compliance Officer with the implementation and management of Madrigal’s Compliance Program. Maintain a current working knowledge of various laws, regulations, ...
Director of Compliance, Loan Servicing. Our client is seeking an experienced and detail-oriented Director of Compliance with a strong background in non-mortgage consumer loan servicing. The Director will be responsible for building and maintaining compliance management systems, managing license rene...
Establishes processes and measures to monitor conformance with Regulatory Affairs procedures and compliance with regulatory requirements. Establish process and measures to ensure Regulatory Affairs compliance with regulatory requirements. ...
Assists the Executive Director, Global Commercial and R&D Compliance Officer with reporting business unit metrics and key performance indicators that reflect the effectiveness of the Global Commercial Business Compliance program to the Chief Compliance Officer and Senior/Executive management. Suppor...
Responsible for the development, implementation, and maintenance of an effective compliance program for business activities and products. Develops, implements and maintains an effective compliance program for brokerage business activities, services and products. Partners with business leaders and st...
Responsible for the development, implementation, and maintenance of an effective compliance program for business activities and products. Develops, implements and maintains an effective compliance program for brokerage business activities, services and products. Partners with business leaders and st...
Job description: *Director of Compliance, Loan Servicing***Location***: King of Prussia, PA (3 days in office)**Relocation Assistance***: May be offered for the right candidate****Compensation: $120k-150k plus bonus potential ($10-20k) plus potential RSUs in the future*****Job Summary*:*We are seek...
As a trusted leader, the Compliance Director, Regulatory Exam Response will provide direction to a dynamic team of compliance professionals focused on carrying forward the tone for regulator engagement and exam and inquiries response on behalf of Vanguard Marketing Corporation, an affiliated self-cl...
Responsible for the development, implementation, and maintenance of an effective compliance program for business activities and products. Develops, implements and maintains an effective compliance program for brokerage business activities, services and products. Partners with business leaders and st...
The Senior Director of Global Transparency and Compliance Assurance is responsible for assisting the Compliance Officers and the Chief Compliance Officer with the implementation and management of Madrigal’s Compliance Program. Business and integrate compliance controls into the scope of existi...
SS&C, through its BPO partnership with Lighthouse, is currently seeking a candidate who will be part of a multi-dimensional middle to back office operations and accounting department responsible for all aspects of post trade matching, trade capture, and all aspects of daily operations, treasury ...
As the Head of Enterprise Compliance, this individual will provide strategic leadership and direction on non-product specific compliance risks that can impact Vanguard. Successful applicants will have deep subject matter experience in at least one of the topical domains, experience with asset manage...
Conducting Compliance Investigations Investigate compliance incidents in the U. In this role, you will conduct investigations, offer legal guidance, manage investigation quality, engage with stakeholders, utilize data analytics, and help coordinate trade sanctions compliance. Providing Legal Guidanc...
Are you passionate about leading with purpose and ensuring the highest standards in patient care? As the Director of Compliance and Quality Assurance at Helping Hands Family, you’ll play a pivotal role in driving our commitment to clinical excellence in autism therapy. Communicate effectively across...
Global Insurance Compliance is seeking a Compliance Director on its Global Sales, Digital Marketing and US Marketing team. The Compliance Director will be responsible for a full range of compliance matters and work closely with the CCO of Global Digital Marketing and US Marketing as well as the Glob...
Recommends practices to reduce potential for violations and noncompliance related to Vanguard's financial crimes compliance program. Develops and oversees the implementation of monitoring programs and procedures to ensure regulatory compliance and protect shareholder assets. Designs, oversees and co...
Recommends practices to reduce potential for violations and noncompliance related to Vanguard's financial crimes compliance program. Develops and oversees the implementation of monitoring programs and procedures to ensure regulatory compliance and protect shareholder assets. Designs, oversees and co...
Leading assessments of clients’ trade and technology controls compliance posture, including assessments of compliance with the International Traffic in Arms Regulations, the Export Administration Regulations, and equivalent regulatory regimes. This position supports the Ankura Risk, Forensics &...
Regulatory Affairs Policy, Intel, & Compliance Director page is loaded Regulatory Affairs Policy, Intel, & Compliance Director Apply locations King of Prussia, PA Alameda, CA time type Full time posted on Posted 8 Days Ago job requisition id JR5670. Establishes processes and measures to moni...