The Compliance AML Intel Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their application in own job and the business. Appropriately assess risk when business decisions are made, demonstrating particular c...
A company is looking for a Compliance Officer - Ecomms and Technology Surveillance. ...
Responsible to develop, review and/or provide responses to Auditors and Regulators, both verbal and/or written, as requested by the VP, Consumer Compliance Officer, EVP-Chief Risk Officer, and/or Compliance Committee or Board of Directors. AVP, CRA & Consumer Compliance Officer. AVP, CRA & C...
A company is looking for a Senior Compliance Officer to oversee and manage compliance processes related to investment advisers. ...
The Compliance Officer is responsible for ensuring that the healthcare practice adheres to regulatory requirements and internal policies. This role involves monitoring compliance efforts, conducting audits, and providing training to staff to promote a culture of compliance. Develop, implement, and m...
A company is looking for a Chief Compliance Officer for their Swap Dealer operations. ...
The Chief Compliance Officer, in conjunction with the Executive Vice President & Chief Legal Officer, will serve as a liaison between the Compliance Committee and various regulatory authorities. The Vice President & Chief Compliance Officer serves as head of regulatory compliance for the Com...
Recruitment and training of qualified compliance officers and other staff with the requisite knowledge and experience to effectively implement the A-CAP compliance program and carry out compliance-related duties for A-CAP;. JOB TITLE: Chief Compliance Of...
Compliance Officer – Wall Cross & Research. Interact with the business and compliance teams on a daily basis to provide advice and guidance to firm personnel on compliance matters. This role will provide senior Compliance coverage in relation to handling and preventing the use of material non-public...
The Compliance Officer is responsible for ensuring that the healthcare practice adheres to regulatory requirements and internal policies. This role involves monitoring compliance efforts, conducting audits, and providing training to staff to promote a culture of compliance. Develop, implement, and m...
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...
Responsibilities include the inspection of existing industrial, commercial, multi-family, single-family housing and adjoining property to determine and record compliance with local ordinances and assisting with the prosecution of violators. Conduct industrial, commercial, multi-family and single fam...
The role is for a US Chief Compliance Officer (CCO) to be based in Miami. The successful individual will report to the Global Chief Risk Officer (CRO). Deploying procedures and controls as part of an approved US compliance program. Organizing the US compliance calendar and ensuring timely submission...
Reviews plans and applications to determine compliance with acceptable codes, ordinances, and procedures. Recommends methods, materials, equipment, and alterations to assist in compliance with acceptable standards. ...
Recruitment and training of qualified compliance officers and other staff with the requisite knowledge and experience to effectively implement the A-CAP compliance program and carry out compliance-related duties for A-CAP;. A-CAP seeks qualified candidates for the position of Chief Compliance Office...
The Compliance Officer is responsible for ensuring that the healthcare practice adheres to regulatory requirements and internal policies. This role involves monitoring compliance efforts, conducting audits, and providing training to staff to promote a culture of compliance. Develop, implement, and m...
Global Regulatory Compliance, Mutual Funds is a five-person team responsible for overseeing the compliance programs of the US domiciled registered investment companies for the Chief Compliance Officers. Support the Chief Compliance Officers (CCOs) in the preparation, assembly, and dissemination of t...
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...
The Compliance AML Intel Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their application in own job and the business. Appropriately assess risk when business decisions are made, demonstrating particular c...
Ensure the organization maintains a well-defined program for compliance with national laws. Regularly update management on the organization's compliance status with laws and regulations. Address noncompliance issues by developing practical action plans to resolve them. Perform regular audits to iden...
WHAT YOU WILL DO: Development, documentation, implementation, and monitoring of an enterprise-wide compliance program, policies and procedures in accordance with applicable laws and best practices; Development and implementation of initial and regular risk assessments of the A-CAP compliance program...
The Compliance Officer is responsible for ensuring that the healthcare practice adheres to regulatory requirements and internal policies. This role involves monitoring compliance efforts, conducting audits, and providing training to staff to promote a culture of compliance. Develop, implement, and m...
The work schedule for Code Compliance Officers is as follows:. Community Enhancement & Code Compliance aims to preserve and enhance the safety, appearance and economic stability of the Sunrise community through the diligent enforcement of applicable ordinances. Supervision is received from the Code ...
Job Summary: The Internal Compliance Trainer is responsible for developing, implementing, and delivering training programs to ensure that all employees and independent contractors understand and adhere to internal compliance policies and regulatory requirements. Work closely with the Compliance team...
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...