The compliance officer is responsible for identifying and assessing areas of compliance risk; communicating the importance of the compliance program to the executive management and the board of directors; preparing and distributing the written code of conduct setting forth the ethical principles and...
Requires Bachelor's or advanced degree in law, finance, business administration, public health, or a related field and 5-7 years of relevant experience, including at least 3 years as a compliance officer. Develops and reviews the enterprise's policies from a compliance focus. Regulatory/Accreditatio...
The Chief Compliance Officer oversees and implements compliance-based training programs and conducts internal investigations into employee misconduct by Maryland Department of General Services (DGS) employees. The Chief Compliance Officer also serves as a liaison with various federal agencies to ens...
Oversee the development and implementation of compliance programs, monitor regulatory changes, and provide guidance to senior management on compliance matters. Position will lead and manage the broker-dealer compliance team responsible for ensuring the broker dealer operates in compliance with all r...
Report on compliance issues to the Regional Management team and to the Global Head of Compliance as regards the compliance activities including Anti-Financial Crime including Anti-Fraud, Sales Compliance, Market Integrity and Regulatory Compliance. Responsible for safeguarding in the region the repu...
The WM Consumer Compliance Group within the Legal and Compliance Division (LCD) is seeking a senior Compliance Officer responsible for providing advice and guidance to business segments within Wealth Management responsible for opening, maintaining, and servicing of self-directed brokerage accounts. ...
The JHU Chief Compliance Officer and Senior Associate General Counsel (“CCO”) oversees and manages the University’s compliance function and compliance risk management and is an integral part of the University’s Institutional Risk Management (IRM) program. Chief Compliance Officer & Senior Associate ...
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. ...
Four (4) years of experience administering an equal employment opportunity or equal access compliance program; or ensuring adherence to fair practice standards; or evaluating a business or public entity for compliance with federal, state, or municipal laws and regulations. Additional experience dire...
The VP, Ethics & Compliance oversees and manages the Company's Corporate Ethics & Compliance Program, serving as an independent and objective individual that reviews and evaluates compliance issues and concerns within the organization. Establishes and maintains an effective compliance program to pro...
The Maryland Transit Administration (MTA) is seeking a Compliance Officer (DOT Executive Assistant I) in the Office of Equal Opportunity Compliance Programs (Baltimore City). Compliance Officers will confirm financial information and report non-compliance that could jeopardize federal funding and go...
Quality Assurance (QA) Research Compliance Officer. Assess research operations to evaluate and determine compliance risk. Perform billing compliance checks. Provide advice on corrective action for non-compliance with internal research policies and procedures. ...
This position is responsible for serving as the EEO Compliance Officer with the Office of the Statewide EEO Coordinator within the Department of Budget and Management. Candidates may substitute Armed Forces military service experience as a commissioned officer involving staff work related to the adm...
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 MBE/DBE Compliance Officer is responsible for monitoring and assessing contract compliance for MBE/DBE participation and Airport Concession Disadvantaged Business Enterprise (ACDBE) participation as it relates to monitoring and enforcement. Minority Business Enterprise/Disadvantaged Business Ent...
DFS is looking for a detail-oriented Compliance Officer to join our growing team. Our Company's Core Values Integrity Accountable & Dependable Team Centric System & Process Oriented Service Ethic Organized Efficiency - risk management & compliance In This Role You Will: Review and audit ...
The VP of Chief Compliance Officer oversees components of the compliance program related to policy and procedures, education and training, compliance line reporting, auditing, and monitoring. Develop, on a yearly basis, a Corporate Compliance Audit/Review Schedule delineating the areas identified fo...
The Chief Compliance Officer ensures compliance with regulations and controls by examining and analyzing records, reports, operating practices, and documentation; recommending opportunities to strengthen the internal control structure. Chief Compliance Officer, Medicare Advantage. Chief Compliance&n...
The Chief Compliance Officer oversees and implements compliance-based training programs and conducts internal investigations into employee misconduct by Maryland Department of General Services (DGS) employees. The Chief Compliance Officer also serves as a liaison with various federal agencies to ens...
We are seeking a highly skilled and experienced professional to join our North America Compliance team as a Senior Compliance Officer supporting our investment advisory businesses, specifically the Exchange-Traded Funds (ETFs) and separately managed account (SMA) platforms. Assist the Head of North ...