Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) to support the. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the supported function/business/product and gui...
Key Responsibilities:Craft pioneering compliance policies tailored for blockchain and fintech sectorsNavigate financial risks and lead risk management initiativesLead high-performance compliance and risk management teamsRequired Qualifications:Bachelor's degree in Finance, Law, Business Administrati...
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 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 Asse...
This position serves as the digital regulatory compliance subject matter expert, advises and trains team members in matters related to digital compliance with federal and state laws and regulations, and develops and executes testing and monitoring for the organization's online lending platform and p...
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...
Manage regulatory inquiry and/or external examination process: monitor inquiries and information requests, assign regulatory inquiries/request to compliance staff, review and analyze requests for potential compliance breaches/issues, communicate with relevant stakeholders, retrieve responsive docume...
Work with the Senior US Compliance Officer to develop and maintain the Compliance framework for the US Broker Dealer entity as part of the global Compliance framework. They are seeking a Compliance Officer to join their Chicago offices. Review the Compliance Monitoring Plan and the controls in place...
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...
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...
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. We are a trusted Financial Services company that needs an experienced Senior Compliance...
COMPLIANCE OFFICER - ONSITE - CHICAGO - PRIOR SUPERVISORY EXP -SALARY $65-$85k. Assist with overseeing the consumer compliance functions (laws and regulations) as they apply to the Bank. Collaborate in the identification, measurement and monitoring of compliance risks within the Bank. Create and hel...
We are seeking a highly skilled and motivated Compliance Officer to join our team. The Compliance Officer will play a critical role in ensuring that our trading activities comply with regulatory requirements and internal policies. Assist in the development and maintenance of compliance-related docum...
Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) to support the. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the supported function/business/product and gui...
The Compliance Officer is responsible for providing compliance support, communication and interpretation of compliance rules and regulations to Bank employees and for researching regulatory issues as they arise. Assist in scheduling, assigning, and conducting compliance training to ensure the bank’s...
We are looking to add a Compliance Loan Officer to our team. This role would be responsible for developing, implementing, and administering the Bank’s BSA/AML program to ensure compliance with the Bank Secrecy Act, and all other Anti-Money Laundering (AML) and Office of Foreign Assets Control (OFAC)...
The Compliance Officer oversees all activities related to compliance with federal or state laws and regulations governing the privacy of health information. Compliance Officer/Patient Advocate. This includes the development, implementation, and maintenance of policies and procedures related to the p...
Family and Medical Leave Act ; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision ....
The Compliance Officer oversees all activities related to compliance with federal or state laws and regulations governing the privacy of health information. Compliance Officer/Patient Advocate. This includes the development, implementation, and maintenance of policies and procedures related to the p...
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...
Chief Administrative Officer, Financial Crimes Compliance page is loaded. Chief Administrative Officer, Financial Crimes Compliance. 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 exe...
Broker dealer located in Chicago looking to bring on board a “Commercial Broker Dealer Chief Compliance Officer – Sr. Promoting a culture of compliance and managed risk taking. Providing subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, incl...
Responsibilities: Drive, develop, and implement Accertify policies, procedures, and internal controls Monitor and assess the effectiveness of the company’s compliance program Lead the Regulatory Change Management process, including tracking incoming legal mandates/requirements, performing appl...
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 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...