A company is looking for a Chief Compliance and Privacy Officer (Remote). ...
Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for reviewing transactions and identifying potential conflicts of interest. Partnering with other ICRM teams and global functions, including Legal, Risk, Operations and ...
Key Responsibilities:Serve as dedicated Regulatory Compliance Officer for Virginia Medicaid contractProvide oversight of Medicaid operations to ensure compliance and minimize riskCoordinate compliance data analytics and manage compliance-related communication with regulatorsRequired Qualifications:V...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. Partici...
A company is looking for a Deputy Compliance Officer, Credit Cards. ...
You will assist the Registration Group in day-to-day operations or special regulatory compliance projects that enable you to widen your range of skills, experience, and knowledge in this area of regulatory compliance. You will provide guidance on registration-related matters and address questions fr...
Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management...
We are looking for a Regulatory Governance Compliance Officer to:. Legal to ensure Compliance with regulatory requirements and firm policies and procedures. You'll be working on the Broker Dealer Regulatory Governance Team (BDRG), a unit within Compliance and Operational Risk Control (C&ORC). We...
Oversee administration of compliance policies and procedures for the Funds, including oversight of portfolio compliance for the Funds, compliance testing for various Fund activities, administration of the Funds' Code of Ethics, and monitoring of quarterly compliance reporting by the Funds' service p...
The Risk Management & Compliance CFO organization acts as strategic partners and trusted advisors to the Risk and Compliance organization. As part of RM&C CFO, the RM&C Finance & Business Management team supports the firm's Chief Risk Officer, RM&C Chief Financial Officer and the...
The compliance officer will be responsible for primary coverage of the Global Equities Derivatives Trading business. For all responsibilities the individual will liaise with management in Equities division and functional leaders in compliance, legal, risk, and IT to provide effective challenge, guid...
The Compliance Officer is an integral part of the Firm’s Compliance team. Will report to and work closely with the company's Chief Compliance Officer as to issues, problems, and sales practice. Compliance experience with a Broker-Dealer or an Investment Adviser / Broker-Dealer, Compliance Consulting...
Global bank located in Jersey City looking to bring on board a “Employee Compliance Officer – VP” to join their team. Play a lead role with implementing employee compliance policies, in conformance with written procedures. Timely escalate high-risk requests for a second review, including any evidenc...
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...
We are keen to see CV's from Compliance Officer, Building Safety Officer, Senior Compliance Co-ordinator, Compliance Surveyor, Fire Safety Co-ordinator, Asbestos Co-ordinator. We are actively looking for a Compliance Officer to join a local authority in the Nottinghamshire area on a temporary basis....
Due to the growth, Paragon Staffing, LLC is looking for an Health and Safety Compliance Officer to join our team! Roles and Responsibilities Ensure that all Health & Safety policies, procedures, rules and regulations are adhered to and are regularly reviewed, updated and communicated. ...
The Compliance Officer will need excellent communication and engagement skills because they will be expected to interact regularly with Compliance Management, Insurance/Registration Compliance, the Business and Employees regarding pre-clearance, registration, and continuing education. Job Summary ...
This team focuses on several key compliance risk types, including consumer compliance, investment banking related compliance, conduct, regulatory compliance, reputation, strategic, and technology risk. SMBC Group is seeking a Compliance Transformation Officer for the Compliance Department Americas D...
The Risk Management & Compliance CFO organization acts as strategic partners and trusted advisors to the Risk and Compliance organization. As part of RM&C CFO, the RM&C Finance & Business Management team supports the firm's Chief Risk Officer, RM&C Chief Financial Officer and the Risk Operating Comm...
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...
Provide ideas for the enhancement of the compliance testing program, monitoring plan, and industry research, leveraging Compliance advisory. Compliance Testing Program, a critical program element of the U. Regulatory Compliance Management (RCM) framework for RBC Combined U. Leading compliance testin...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Compliance Independent Assessment (CIA) team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Assisting with the identification of Significant Complianc...
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...
The Compliance Anti-Money Laundering (AML) Risk Management Senior Officer is a senior level position responsible for establishing internal procedures to prevent money laundering and assist in all matters concerning financial crimes in coordination with the broader AML team. Maintain AML compliance p...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Compliance Independent Assessment (CIA) team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Assisting with the identification of Significant Complianc...