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...
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 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...
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. ...
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 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 ...
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 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 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...
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 ...
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 Compliance Specialist serves as the MBE/DBE Compliance Officer, overseeing contract compliance, reporting, and management. The Compliance Specialist plays a crucial role in ensuring adherence to equal opportunity programs and compliance standards within the Office of Equal Opportunity and Compli...
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...
The incumbent in this position will function as an Equal Employment Opportunity Officer and perform advanced duties such as policy and program development, research and interpretation of civil rights laws and regulations, training, compliance monitoring, management advisement on civil rights-related...
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 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...
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. ...
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. ...
Keep abreast of changes in laws and regulations; reviewing documents presented to the CFO and/or General Counsel for approval and/or signature; and serving as Freedom of Information Act (FOIA) Disclosure Counsel for OCFO FOIA requests. This position is located within the Office of the Chief Financia...
Duties and responsibilities include reviewing contractor safety plans for compliance with the contract requirements; performing randomly scheduled field audits and documentation of construction related activities on highway, bridge, building and other heavy construction projects to verify safety com...
JOB SUMMARY: We are actively hiring a dedicated General Counsel to lead and manage all legal affairs within the organization. This position will report to the CFO and will provide strategic legal advice and counsel on a diverse array of matters including, but not limited to, contracts and agreements...
The SSO will perform the full range of security duties and assignments in support ACC Wing SCI security programs and will assist in the operation of the special security office and help to administer the SCI security program to include providing SCI security guidance for other local/tenant SCIFs. Pe...
As a Cybersecurity Compliance Manager. You will support the Chief Information Security Officer (CISO), the Chief of Classified IT Compliance and the Principal Organizational Information System Security Manager (ISSM) in carrying out the Laboratory 's Classified Information Security Program. You will...
If so, we 're looking for someone like you to join our team! We are seeking a Compartment Security Compliance Project Analyst (CSCPA) to help provide APL and its sponsors with the highest level of security support. Compartment Security Compliance Project Analyst (CSCPA). Provide security guidance re...