Financial Aid Compliance Officer (FT), MFRE13586SFA. Financial Aid Compliance Officer (FT), MFRE13586SFA. Leading with a student-centered focus, this role coordinates and completes financial aid data analysis activities, assessments, and reporting requirements for quality assurance and compliance wi...
A company is looking for a Compliance Officer - Consumer Default Management. ...
Administer the Code of Ethics, including employee personal trade reporting reviews, ensuring brokerage account electronic feeds are correctly maintained, and ensuring ongoing compliance responsibilities identified in the compliance calendar are addressed and resolved in compliance platform. LaSalle ...
This role is part of the Distribution Compliance team, which is one of five subgroups within the larger Legal and Compliance team (the other subgroups are Investment Partner Oversight, Investment Management Compliance, Regulatory Compliance and Examinations, and Legal). The Legal and Compliance team...
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 resolv...
GCM Grosvenor Chicago, Illinois, United States **SUMMARY**The Compliance team is looking for a Chief Compliance Officer for the firms limited purpose broker-dealer who can also support the investment advisers compliance program. Chief Compliance Officer (CCO) of Broker-Dealer**. As the broker-...
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. If you are not in compliance, you will be determined unsuitable for employment with IRS. ...
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...
Reviews identified 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. ...
A reputable and growing trading firm in Chicago is looking to bring on a Senior Compliance Officer to its expanding compliance team. The ideal candidate will be someone who has worked extensively throughout the proprietary trading sector with securities and options and can jump into a variety of act...
Family and Medical Leave Act ; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision ....
The Compliance Officer is responsible for the development, implementation, and maintenance of an effective compliance program to ensure adherence to all relevant laws, regulations, and company policies. They are tasked with providing guidance and oversight to ensure compliance with regulations set b...
The BSA Compliance Officer supports the Bank Secrecy Act training effort for the Board of Directors, appropriate management, and staff personnel; participates in briefings of management and staff on BSA/AML compliance issues and responds to BSA/AML questions. BSA and Compliance/CRA Officer:. The BSA...
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...
Fun Chief Compliance Officer - HYBRID. This position will act in the capacity of Chief Compliance Officer for certain investment company clients. Primary responsibility will be to ensure fund and service providers' compliance with Rule 38a-1 of the Investment Company Act of 1940. Oversee maintenance...
As a Compliance Officer, you will be responsible for ensuring that the company and its employees comply with internal policies and external regulations. You will conduct audits, assess risk, and implement compliance programs to mitigate legal and regulatory risks. Develop and implement compliance po...
The BSA Compliance Officer supports the Bank Secrecy Act training effort for the Board of Directors, appropriate management, and staff personnel; participates in briefings of management and staff on BSA/AML compliance issues and responds to BSA/AML questions. BSA and Compliance/CRA Officer:. The BSA...
The BSA Compliance Officer supports the Bank Secrecy Act training effort for the Board of Directors, appropriate management, and staff personnel; participates in briefings of management and staff on BSA/AML compliance issues and responds to BSA/AML questions. BSA and Compliance/CRA Officer:. The BSA...
The CAO role is one of a seasoned multi-disciplinary expert with extensive business and industry knowledge related to risk management and compliance focused on the execution of the Financial Crimes Compliance strategic direction. Under general supervision, the Chief Administrative Officer (“CAO”) is...
As a Compliance Officer, you will be responsible for ensuring that the company and its employees comply with internal policies and external regulations. You will conduct audits, assess risk, and implement compliance programs to mitigate legal and regulatory risks. Develop and implement compliance po...
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 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...
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 Compliance Officer assists the Section Manager of the Compliance Section in the Fair Labor Standards (FLS) Division in the Illinois Department of Labor. Compliance Officer - Spanish Speaking. Reviews additional records of employers to determine compliance with various labor laws enforced by the ...
Compliance Officer Responsibilities:. Compliance Officer Requirements:. This role will focus on regulatory compliance, OSHA claims investigations and audits. Develop, implement and oversee company-wide compliance programs to ensure adherence to OSHA regulations and other relevant laws. ...