Serves as a senior 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 deliver a risk management framework th...
A company is looking for a Compliance and Data Privacy Officer (fractional) to lead the development and implementation of a compliance program for medical imaging real-world data. ...
The Compliance Officer (CO) is responsible for overseeing and monitoring the implementation and effectiveness of Ronald McDonald House of New York’s Compliance Program (“Program”), including developing and facilitating the delivery of training strategies. Develops compliance metric...
A company is looking for a Compliance Officer II to oversee and administer compliance programs within the business unit. ...
The Corporate and Investment Banking division of Socit Gnrale is looking to hire a Capital Markets Compliance Officer who will assume compliance coverage responsibility for Capital Markets including Equity Capital Markets and Syndicate in the Americas and be part of the Investment Banking Coverage C...
Monitor regulatory changes, updates and industry-wide compliance initiatives, and conduct ongoing analyses to enhance Firm's global Quantitative Trading Compliance program. Assist in the management of the Firm's global Quantitative Trading Compliance program, including ownership of the initial vetti...
Serves as a senior Research, Marketing, and Content Compliance 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 deliver a risk man...
We are seeking to hire an exceptional Compliance Officer to join our Global Markets Advisory Compliance team in our New York office. As Global Markets Advisory Compliance Officer you will act as subject matter expert for regulations that apply to the market infrastructure, and investment and trading...
Serves as a senior 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 deliver a risk management framework that maint...
Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements. The employee will most likely interact on a regular basis with the Client On Boarding group, Front Office personnel, Head Office Compliance personnel, and IT support. ...
Balyasny Asset Management is seeking an experienced Compliance Officer for its New York office. The employee will report to the Senior Compliance Counsel and will work closely with both the Compliance and Legal Departments. The primary focus will be to assist the Compliance Department with reviewing...
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...
Support the Code of Ethics Program, including oversight of all personal securities trading, periodic attestations and certifications and related staff regulatory reporting obligations.Administer and manage a regional Code of Ethics programs, across multiple branch offices and investment platforms.In...
The Compliance Officer will play a critical role in maintaining the company’s regulatory compliance by reviewing internal processes, monitoring client interactions, and developing policies to ensure all operations meet applicable legal and regulatory standards. New Start Capital is seeking a detail-...
Reporting to CACIB US Compliance’s Head of Governance and Ethics, the Compliance Officer will be in charge of implementing & maintaining CACIB US Compliance Governance Framework; acting as Secretary of the committees managed by CACIB US Compliance department and performing 2nd line of defense contro...
NYC Aging seeks a highly motivated Senior manager with broad-based experience in compliance, internal and external audit, financial reporting and programmatic fiscal processes to serve as Chief Compliance Officer. Reporting to the Chief Financial Officer, with additional accountability to the First ...
Our client, a global FinTech who specialize in Mortgage Securitization and Servicing is seeking to hire a Chiefpliance Officer to providepliance leadership and direction to firm. Chiefpliance Officer - Mortgages. Our client, a global Fin-Tech who specialize in Mortgage Securitization and Servicing i...
The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up the quality and accuracy we're known for.It's what keeps us inventing and reinventing, all the time.Our culture is wide open, just like our spaces.We bring...
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...
It is part of the Global CMG function within the Investment & Corporate Banking Regulatory Compliance (“ICBRC”) group for CACIB worldwide. ...
Chief Compliance Officer, Registered Investment Advisor - Senior Compliance Advisor. Chief Compliance Officer, Registered Investment Advisor - Senior Compliance Advisor. Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor (“RIA”) aff...
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...
Compliance Officer & Accrediting Lead. Entirely owns the compliance and process of acrediting and maintaining the programs above. Ensures our consistent compliance to all of the above points. Business Development strategy and business plan as it relates to compliance . ...
CIB Americas Compliance seeks a VP-level Compliance Officer to contribute at the CIB Americas Control Room and support a dynamic CIB Americas Compliance Department. The Compliance Officer will have direct coverage responsibility to oversee and review deal-related conflicts issues. The Compliance Off...
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...