Compliance Officer II- Mortgage Origination. Leads in the identification and assessment of risks (Fair Lending, Responsible Banking, CRA) and the execution of procedures to evaluate the Bancorp's compliance with laws, regulations and industry standards. Analyzes data by numerous delivery channels, g...
The chief compliance officer is responsible for developing, maintaining, and monitoring regulatory compliance standards for the registered investment adviser and broker-dealer clients in the overall management of the client's compliance program, the application of compliance policies and pr...
Compliance Officer II-Compliance Testing Programs. Responsible for conducting testing in accordance with the Compliance Testing Standards and Operating Procedures to ensure compliance with state and federal laws, rules, and regulations. Prepare reporting and actively engage senior LOB leadership to ...
The Chief Compliance Officer ("CCO") is ultimately responsible for the compliance functions of the RIA, Oxford Financial Group, LLC ("Oxford") and the commodity pool operator. The person who is in this role may also serve as a BSA Officer of the Trust Company of Oxford ("TCO...
Compliance Officer I - Compliance Testing Programs. Responsible for conducting testing in accordance with the Compliance Testing Standards and Operating Procedures to ensure compliance with state and federal laws, rules, and regulations. Prepare reporting and actively engage senior LOB leadership to...
Compliance Officer II- Mortgage Origination. Leads in the identification and assessment of risks (Fair Lending, Responsible Banking, CRA) and the execution of procedures to evaluate the Bancorp's compliance with laws, regulations and industry standards. Analyzes data by numerous delivery channels, g...
Compliance Officer I - Compliance Testing Programs LOCATION -- Cincinnati, Ohio 45227. Responsible for conducting testing in accordance with the Compliance Testing Standards and Operating Procedures to ensure compliance with state and federal laws, rules, and regulations. Prepare reporting and activ...
Compliance Officer II-Compliance Testing Programs. Responsible for conducting testing in accordance with the Compliance Testing Standards and Operating Procedures to ensure compliance with state and federal laws, rules, and regulations. Prepare reporting and actively engage senior LOB leadership to ...
The Chief Compliance Officer is responsible for developing, maintaining, and monitoring regulatory compliance standards for the registered investment adviser and broker-dealer clients in the overall management of the client's compliance program, the application of compliance policies and procedures,...
Vice President and Chief Compliance Officer. Dinsmore Compliance Services, LLC (“DCS”) is a growing provider of outsource compliance services and solutions to investment advisers, municipal advisers, hedge funds, and broker-dealers. We offer full chief compliance officer (CCO) services, consulting, ...
Identifies issues to be pursued based on large, unusual or questionable items that produce a significant tax or compliance effect and utilizes the tax law and facts needed to resolve them. ...
Dinsmore Compliance Services, LLC (“DCS”) is a growing provider of outsource compliance services and solutions to investment advisers, municipal advisers, hedge funds, and broker-dealers. We offer full chief compliance officer (CCO) services, consulting, assessments, and financial operations (FINOPs...
The Chief Compliance Officer (“CCO”) is ultimately responsible for the compliance functions of the RIA, Oxford Financial Group, LLC (“Oxford”) and the commodity pool operator. The person who is in this role may also serve as a BSA Officer of the Trust Company of Oxford (“TCO”), but is not an officer...
Tax Exempt and Government Entities, Exempt Organizations and Government Entities, Examinations, Compliance and Review. Identifies issues to be pursued based on large, unusual or questionable items that produce a significant tax or compliance effect and utilizes the tax law and facts needed to resol...
Perform and/or oversee periodic testing of written policies and procedures to determine ongoing compliance. Ability to oversee and carry out the implementation and ongoing execution and enhancement of a full-scale compliance program. Preferably in a manager, officer, or director role. ...
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. ...
Compliance Officer II-Compliance Testing ProgramsLOCATION -- Cincinnati, Ohio 45227. Responsible for conducting testing in accordance with the Compliance Testing Standards and Operating Procedures to ensure compliance with state and federal laws, rules, and regulations. Prepare reporting and activel...
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...
Compliance Officer II- Mortgage OriginationLOCATION -- Cincinnati, Ohio 45227. Leads in the identification and assessment of risks (Fair Lending, Responsible Banking, CRA) and the execution of procedures to evaluate the Bancorp's compliance with laws, regulations and industry standards. Analyzes dat...
The Chief Compliance Officer (“CCO”) is ultimately responsible for the compliance functions of the RIA, Oxford Financial Group, LLC (“Oxford”) and the commodity pool operator. The person who is in this role may also serve as a BSA Officer of the Trust Company of Oxford (“TCO”), but is not an officer...
Compliance Officer I - Compliance Testing ProgramsLOCATION -- Cincinnati, Ohio 45227. Responsible for conducting testing in accordance with the Compliance Testing Standards and Operating Procedures to ensure compliance with state and federal laws, rules, and regulations. Prepare reporting and active...
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...