Provides strategic advice on complex reporting and technological issues raised by the MRTS business units, Regulatory Services Management ("RSM") team, Regulatory Operations teams, and other FINRA customers, as applicable. The Principal Analyst of the Metrics and Reporting ("Metrics&q...
With a company culture rooted in collaboration, expertise and innovation, we aim to promote progress and inspire our clients, employees, investors and communities to achieve their greatest potential.Our work is the catalyst that helps others achieve their goals.In short, We Enable Possibility℠.Arch ...
The Senior Compliance Analyst - Regulatory Affairs conducts independent reviews related to regulatory inquiries and examinations. The Senior Compliance Analyst will gather and validate data to draft responses for regulatory and/or examination requests. The Senior Compliance Analyst brings closure to...
This Associate Principal Analyst position within the Surveillance and Market Intelligence section of Market Regulation is responsible for conducting routine surveillance reviews of moderate to high complexity to identify unusual market activity for evidence of violations of applicable federal securi...
Industry PRO Region MO-Missouri City Kansas City State MO Rate $DOE Duration 3 months Description Chipton-Ross is seeking a Regulatory Analyst I for a contract opportunity in Kansas City, MO. Previous experience in a regulatory environment or related field is preferred but not required. Relevant cer...
Create and execute complex regulatory implementation strategies for assigned legislative, regulatory, sub-regulatory, and licensing / accreditation requirements across multiple jurisdictions, including assessments of the regulatory impact of changes to people, processes, and technologies deployed ac...
Successfully completes regulatory and job training requirements. ...
Arch Insurance business units by preparing actuarial support for rate and rule filings, including indication analysis, impact calculations, competitor research, and state-specific exhibits.Arch’s CEO, CFO, President and many business unit leads are actuaries.You will present to the CEO and other exe...
The Senior Compliance Analyst – Regulatory Affairs conducts independent reviews related to regulatory inquiries and examinations. The Senior Compliance Analyst will gather and validate data to draft responses for regulatory and/or examination requests. The Senior Compliance Analyst brings closure to...
The GRC Compliance Analyst - Global Federal will be a key member of the GRC team responsible for collaborating with the business on Federal GRC activities, administering GRC solutions, and ensuring compliance objectives are being achieved. Assist in conducting enterprise-wide, ongoing risk analysis ...
We are a team of Enterprise Architects, Business Process Consultants, and Solution Analysts aligned to business and technology functions across the Enterprise within the technology services organization. Lead Business Analyst (Finance Systems). Strong financial and business acumen. Enjoys Business A...
The Compliance Analyst will assist the Compliance Testing team in implementing the Bank's Compliance Testing Program to promote independent oversight within the Compliance Risk Management Framework. The Compliance Analyst will be an integral part in executing the Compliance Testing Program and will ...
Manage the profit and loss (P/L) for assigned projects, ensuring profitability and growth for both the company and its customers. Act as the primary quality contact and facilitator for each component sold, ensuring customer expectations are met during project start-up. Serve as the internal voice of...
The Senior Project Manager plans, directs, and coordinates activities of designated projects to ensure that goals or objectives of the projects are accomplished within the prescribed timeframe and budget parameters by performing the following duties personally or through project team members. Ensure...
As a Senior Quality Assurance and Regulatory Affairs (QARA) Specialist, you will coordinate the management of documentation in the document control system, maintain and update process and training documentation as requested, provide quality assurance support for product development and maintenance o...
A Project Manager oversees a project team (or teams) of project and design engineers, designers, drafters and support staff. Project Managers diligently execute ECI's quality control procedure, ensuring best-in class project execution and delivery. Project Managers interact with and coordinate E...
We are looking for a Project Manager who combines ambition and drive with a commitment to quality customer service. We are interested in someone who has project management/ sales experience working in the Home Builder and or Commercial markets with cabinets and countertops. Previous experi...
Fair Banking Compliance Officer. Fair Banking Compliance Officer. Prior experience with working at a large bank or similar organization, preferably in a Compliance. Fair Banking Program to ensure the organization is operating in compliance with fair lending, anti-predatory and unfair, deceptive and ...
This position is a unique opportunity for a high potential high performer who could be considered for advancement and back up to the Chief Compliance Officer. Prepares periodic Compliance Officer Reports and dashboard for the Enterprise Risk Committee and Board of Directors' Audit & Risk Committ...
Bank is seeking a seasoned Senior Business Process Consultant/Analyst with relevant experience to contribute toward the success of our technology initiatives in the Swap Data Reporting space. Provide technical leadership on installation, configuration, and use of technology solutions to support Swap...
Collaborate with business areas to determine compliance solutions and follow-up to ensure timely compliance. Responsible for assisting in review, evaluation and monitoring of business unit compliance and risk management activities. Monitor statutory and regulatory changes to assess potential impact....
Environmental Senior Project Managers prepare project proposals and budgets (including complex proposals in response to publicly solicited requests for proposals), lead business development initiatives within their operating group(s), serve as a technical resource to junior staff in their area(s) of...
As a Senior Project Manager, you would be responsible for managing large projects and/or sophisticated, high-risk projects, and executing program management services for complex, multi-discipline projects for the firm. The senior project manager builds and maintains positive client relationships for...
The Chief Compliance Officer position is an opportunity to lead and oversee Matter Family Office's compliance needs. More than 10 years of experience in wealth management industry required, focused on operations and compliance, and possessing a deep understanding of the operational and compliance fu...
The Advertising Compliance Senior Analyst - Advisory reviews, edits, advises, and verifies the final copy in accordance with all appropriate marketing rules and regulations promulgated under the Investment Advisers Act of 1940 (as amended). Stifel is home to approximately 9,000 individuals who are c...