Compliance Director in all aspects of the Fund Office’s compliance with financial and reporting regulations pertaining to the administration of its retirement and health & welfare employee benefit and other (. Maintaining and updating the Compliance Calendar and monitoring organization-wide complian...
Compliance Director in all aspects of the Fund Offices compliance with financial and reporting regulations pertaining to the administration of its retirement and health & welfare employee benefit and other (. Maintaining and updating the Compliance Calendar and monitoring organization-wide complianc...
IMA's Certificate Compliance (IMACC) team is seeking a Managing Director to join our group! This role will lead the IMACC team as an active liaison between agent and IMA, Inc. Provide detailed and accuratereviews and answer client inquiries about compliance matters. ...
The Director will be responsible for rigorously supporting the Executive Director and managing the Volcker Program while working closely with senior stakeholders across SMBC globally. Guide, recommend, and implement enhancements to the Volcker compliance program and related policies/procedures to en...
Compliance Director in all aspects of the Fund Office’s compliance with financial and reporting regulations pertaining to the administration of its retirement and health & welfare employee benefit and other (. Maintaining and updating the Compliance Calendar and monitoring organization-wid...
The Director, SAP S/4 Risk & Compliance Lead is a critical role for NBCUniversal's SAP S/4 HANA implementation, Project Keystone. The role of the SAP S/4 Risk & Compliance Lead is responsible for supporting our transformation office by providing compliance guidance around the future stat...
Compliance Director in all aspects of the Fund Offices compliance with financial and reporting regulations pertaining to the administration of its retirement and health & welfare employee benefit and other (. Maintaining and updating the Compliance Calendar and monitoring organization-wide complianc...
Compliance Director in all aspects of the Fund Offices compliance with financial and reporting regulations pertaining to the administration of its retirement and health & welfare employee benefit and other (. Maintaining and updating the Compliance Calendar and monitoring organization-wide compl...
Compliance Director in all aspects of the Fund Offices compliance with financial and reporting regulations pertaining to the administration of its retirement and health & welfare employee benefit and other (. Maintaining and updating the Compliance Calendar and monitoring organization-wide compl...
The Compl AML Core Sr Director manages multiple teams of senior professionals through other senior managers. Design, develop, deliver, and maintain best-in-class AML Compliance policies and practices; provide a mechanism for identifying key money laundering risks and how the mitigation of those risk...
Compliance Director in all aspects of the Fund Offices compliance with financial and reporting regulations pertaining to the administration of its retirement and health & welfare employee benefit and other (. Maintaining and updating the Compliance Calendar and monitoring organization-wide compl...
The US Capital Markets Compliance Team is seeking a Compliance Director with primary accountability for the Firm’s Cash Equities Electronic Trading businesses, across two U. Analyzes and reports compliance information to Compliance and business/group management. The role will include accountability ...
Governance, Risk and Compliance Services Director. Risk-based, value-orientated internal audits, including Sarbanes-Oxley compliance, asset protection, compliance and fraud prevention components. Risk and compliance assessments designed to identify, evaluate and mange critical risks and compliance i...
Citizens institutional broker-dealer, is seeking a highly skilled Compliance Director to lead our advisory and trade surveillance efforts. As the Director of Institutional Equities, Options, and Fixed Income Compliance, you will be responsible for overseeing both advisory and trade surveillance func...
Support selected firm-wide legal and compliance initiatives and work with the GC, CCO and others in the Legal / Compliance Department to provide broad support for the Compliance Program. Review marketing materials, due diligence responses, investor communications and other fundraising and reporting ...
Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and delivery of a risk m...
The Deputy Director of Integrity and Compliance will work with the Executive Director for Program Policy and Innovation to lead the following units in PPI. The Deputy Director of Integrity and Compliance will lead several units focused on ensuring rules and regulations are successfully implemented. ...
A financial services firm in New York City is currently seeking an experienced Compliance Consultant to join their growing team as their new Associate Director - Broker Dealer Compliance. The Associate Director - Broker Dealer Compliance will:. Work closely on compliance matters with client personne...
Under the direction of the Regional Business Development Director (RBDD), and in collaboration with practice leadership, and the Chief Business Development Officer, the Director of Business Development, Legal, Compliance & Risk, is responsible for driving, monitoring and improving sales performance ...
The focus of the role will be on execution of control room-related tasks, advisory to the various businesses, focusing on the private side, reporting, monitoring Compliance and business controls, and the execution of Compliance controls. It is part of the Global CMG function within the Investment &a...
We are seeking a Senior Director – Associate General Counsel of Compliance to join our team. Reporting directly to the Chief Compliance Officer, you will collaborate with the CCO and other senior leadership to design and implement a successful global compliance program across many business units, fu...
The Advisory Compliance team serves as a regulatory advisory function and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as the New Product, Underwriting...
Serve as the audit liaison for Compliance covering a number of topics including but not limited to: conducting monthly Compliance/IAD touch points; participating in all Compliance related audit Reviews to ensure Compliance is meeting IAD expectations and timelines and provide consistent messaging to...
Eastman Kodak Company is seeking an experienced SOX Compliance expert to join our finance team to lead our SOX Compliance Office (SCO). The SCO is responsible for ensuring Kodak’s compliance with the Sarbanes-Oxley Act and as such oversees governance for internal controls over financial reporting (I...