The Compliance Officer is responsible for ensuring that the healthcare practice adheres to regulatory requirements and internal policies. This role involves monitoring compliance efforts, conducting audits, and providing training to staff to promote a culture of compliance. Develop, implement, and m...
Manage and review quarterly compliance reporting and findings to the Chief Compliance Officer and Board of Trustees. At the direction of the Chief Compliance Officer, assist in various compliance related matters. Deputy Chief Compliance Officer. We are a trusted Financial Services company that needs...
VP – Compliance / BSA Compliance Officer – Up to $115K – Dallas, TX – Job # 2086Who We Are. Coordinating, supervising, and supporting the bank’s compliance-related programs, such as compliance training, compliance testing and reporting, disaster recovery, contingency planning, and records warehousin...
Our fast-paced Compliance team is looking for a Compliance Monitoring Officer with experience in performing compliance and risk quality assurance monitoring procedures in the payments and/or finance industry. Compliance Monitoring Officer (Audit, QA, Risk Assessment, Testing). Collaborate with the c...
The SVP of Compliance (“SVP”), HUB Retirement and Private Wealth (“RPW”), will be a highly visible, leadership position, reporting directly into Global/Executive Chief Compliance Officer of RPW, working closely RPW senior leadership to collectively support the growing RPW business. This is a unique ...
Reporting directly to the General Counsel, the Chief Compliance Officer will develop, implement, and monitor effective compliance programs and policies to ensure the company’s adherence to relevant laws, regulations, and ethical standards. EXCLUSIVE — Our client, a leading, public, technology manufa...
The Compliance Officer - FCM Advisor provides compliance advisory services for the FCM (futures commission merchant) entity as well as related IBs (introducing brokers), GIBs (guaranteed income bonds), and swap dealers. Compliance and Compliance Officers play a crucial role in ensuring that all acti...
Partner with the Compliance Team to drive IMC's regulatory vision and compliance efforts. The Compliance Analyst - AML (Anti-Money Laundering) is responsible for ensuring that the organization complies with all applicable laws, regulations, and internal policies related to the detection and preventi...
Family and Medical Leave Act ; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision ....
The Compliance Officer – FCM Advisor provides compliance advisory services for the FCM (futures commission merchant) entity as well as related IBs (introducing brokers), GIBs (guaranteed income bonds), and swap dealers. Compliance and Compliance Officers play a crucial role in ensuring th...
Manage and review quarterly compliance reporting and findings to the Chief Compliance Officer and Board of Trustees. At the direction of the Chief Compliance Officer, assist in various compliance related matters. Deputy Chief Compliance Officer. We are a trusted Financial Services company that needs...
We are currently seeking a highly skilled and experienced Compliance Officer to oversee the Bank Secrecy Act (BSA) / Anti-money Laundering (AML) / Customer Identification Program (CIP) / Office of Foreign Asset Control (OFAC) / and Suspicious Activity Reporting (SAR) compliance programs, as well as ...
We are currently seeking a highly skilled and experienced Compliance Officer to oversee the Bank Secrecy Act (BSA) / Anti-money Laundering (AML) / Customer Identification Program (CIP) / Office of Foreign Asset Control (OFAC) / and Suspicious Activity Reporting (SAR) compliance programs, as well as ...
Manage and review quarterly compliance reporting and findings to the Chief Compliance Officer and Board of Trustees. At the direction of the Chief Compliance Officer, assist in various compliance related matters. Deputy Chief Compliance Officer. We are a trusted Financial Services company that needs...
The Senior Compliance Officer will support our culture of compliance while supporting our mission of helping DWS grow and service our clients. Senior AFC & Compliance Officer - Alternatives. The Senior Compliance Officer will support the Illiquids Alternative business lines in the Americas and provi...
The successful candidate will report to the Chief Compliance Officer of 50 South and also the Alpha Strategies Fund, a registered closed-end fund managed by 50 South. This position is part of Northern Trust’s Asset Management (“NTAM”) Compliance team, led by the Head of Compliance for Asset Manageme...
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...
Assure that Compliance Program reports are produced for the Chief Executive Officer, Board of Directors, and/ or the Audit and Compliance Committee of the Board of Directors, as directed by the Chief Corporate Compliance Officer. The Compliance Officer is responsible for the ongoing development, imp...
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...
Broker dealer located in Chicago looking to bring on board a “Compliance Officer -FCM Advisor” to join their team. Support the Head of FCM Compliance by providing Compliance Advisory services to FCM (futures commission merchant) business line. Collaborate to ensure Compliance Calendar deadlines are ...
The successful candidate will be the compliance program lead working closely with other employees of the compliance department, business partners, legal team, portfolio management and operations teams, and other service providers and stakeholders on the daily administration of the compliance program...
The Compliance Officer – FCM Advisor provides compliance advisory services for the FCM (futures commission merchant) entity as well as related IBs (introducing brokers), GIBs (guaranteed income bonds), and swap dealers. Compliance and Compliance Officers play a crucial role in ensuring that all acti...
The General Counsel and Chief Compliance Officer (GC/CCO) will guide the legal and compliance strategy for the firm and lead a team that will execute those initiatives daily. Within the Business Department, the Compliance and Legal team serves in an advisory capacity to Belvedere's trading, operatio...
The Compliance Officer is responsible for ensuring that the healthcare practice adheres to regulatory requirements and internal policies. This role involves monitoring compliance efforts, conducting audits, and providing training to staff to promote a culture of compliance. Develop, implement, and m...
This position is part of the Compliance Program Management team providing direct consumer compliance oversight and support of all marketing and advertising, including marketing efforts of the mortgage lending team. Assist the AVP Regulatory Change Management with oversight of the compliance change c...