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...
A company is looking for a Compliance Officer to develop and manage the AML/CFT program. ...
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 Officer II to oversee and administer compliance programs within the business unit. ...
The Artemis Group, an attorney search firm, has partnered with a major asset management firm headquartered in New York City to find a highly experienced Chief Compliance Officer. This role involves leading compliance efforts for a complex array of registered funds, including private equity, fixed in...
A company is looking for a Senior Compliance Professional to ensure compliance with governmental requirements for their Medicaid business in South Carolina. ...
As the NFA/CFTC senior compliance expert you’ll be a part of our team and will help mature our NFA/CFTC compliance products and controls, functions and reporting needs. You will provide compliance guidance around NFA/CFTC regulated new products, business initiatives and implementing a strong risk ma...
Compliance Officer - Operations & Regulatory Reporting Oversight. Provide compliance guidance and create oversight program for reg reporting, work with supervision, advisory compliance, front office and IT to bridge gaps or provide expertise. The desired candidate has mid to senior level experience ...
The Compliance Officer will be a member of the Legal, Compliance & Risk Group and will report to the Head of Investment Platform Compliance, Americas, working closely with other compliance professionals and attorneys. The Compliance Officer will support Wellington Management's compliance program, fo...
As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; ...
Therefore, a key responsibility of the role is to work with the Chief Compliance Officer to build-out, manage and execute the compliance infrastructure for private credit. This role will be a member of the Legal and Enterprise Risk Group and will report to the Private Investments Chief Compliance Of...
The Chief Compliance Officer & Head of Regulatory will lead CLEARs Compliance & Regulatory teams within Legal while working with teams across the company to build products & programs consistent with global laws & regulations. Oversee an effective compliance program per DOJ & SEC guidance, including,...
Senior Compliance Officer - Trade / Export Control - Legal & Compliance. The Compliance Officer will maintain compliance with applicable customs / export and other government agency laws and regulations and provide support for all Bloomberg entities globally. The Global Compliance team within Bloomb...
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...
Broker dealer located in Midtown Manhattan looking to bring on board a “Executive Compliance Officer” to join their team. Provide Compliance Advisory services to business lines. Collaborate to ensure Americas Compliance Calendar deadlines are achieved. Provide Compliance Advisory services for Trade ...
In addition, the individual will provide assistance to the Chief Legal Officer & Chief Compliance Officer in compliance and legal functions and act as the Healthcare System’s HIPAA Privacy Officer. The Audit and Compliance Manager and HIPAA Privacy Officer is responsible to conduct internal, financi...
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...
As a Compliance Officer, you will be responsible for ensuring that the company and its employees comply with internal policies and external regulations. You will conduct audits, assess risk, and implement compliance programs to mitigate legal and regulatory risks. Develop and implement compliance po...
Global bank located in Midtown Manhattan looking to bring on board a “Director – Fixed Income Compliance Officer” to join their team. Proactively engages with Compliance, Legal and control function colleagues to enhance the overall Compliance program. Responsible for providing regulatory and complia...
The Investigation and Compliance Unit, to which this position belongs, updates and provides guidance to agency EEO Officers on investigative and reasonable accommodation processes, develops and presents legally mandated non-discrimination training curricula, conducts very time-sensitive high level d...
Communicate with sales and trading management and US Compliance personnel on relevant compliance issues, the regulatory environment, and Compliance Department initiatives by actively participating in relevant business forums and internal meetings. Coordinate with Internal Control on compliance risk ...
Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law. Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-complia...
This position provides technical and professional compliance expertise and advice to leadership, regional support teams, employees, committees and affiliates regarding current and emerging federal, state and local and internal healthcare compliance-related issues consistent with the system-wide Comp...
The Compliance Officer – Policies and Procedures of will create and maintain a Compliance Policies and Procedures for all Americas registered entities, they will be assisted in content by the compliance advisor for each regulated entity. Compliance and Compliance Officers play a crucial role in ensu...
Professional certification is highly preferred, such as Certified Bank Compliance Officer (CBCO), Certified Regulatory Compliance Manager (CRCM), or Certified Regulatory and Compliance - Professional (CRCP) would be an asset. The Compliance Officer will oversee Emigrant’s compliance function, as wel...