Compliance Officer II- Mortgage Origination. Leads in the identification and assessment of risks (Fair Lending, Responsible Banking, CRA) and the execution of procedures to evaluate the Bancorp's compliance with laws, regulations and industry standards. Analyzes data by numerous delivery channels, g...
The Chief Compliance Officer is responsible for developing, maintaining, and monitoring regulatory compliance standards for the registered investment adviser and broker-dealer clients in the overall management of the client's compliance program, the application of compliance policies and procedures,...
Compliance Officer I - Compliance Testing Programs. Responsible for conducting testing in accordance with the Compliance Testing Standards and Operating Procedures to ensure compliance with state and federal laws, rules, and regulations. Prepare reporting and actively engage senior LOB leadership to...
Dinsmore Compliance Services, LLC (“DCS”) is a growing provider of outsource compliance services and solutions to investment advisers, municipal advisers, hedge funds, and broker-dealers. We offer full chief compliance officer (CCO) services, consulting, assessments, and financial operations (FINOPs...
Compliance Officer II-Compliance Testing Programs. Responsible for conducting testing in accordance with the Compliance Testing Standards and Operating Procedures to ensure compliance with state and federal laws, rules, and regulations. Prepare reporting and actively engage senior LOB leadership to ...
Vice President and Chief Compliance Officer. Dinsmore Compliance Services, LLC (“DCS”) is a growing provider of outsource compliance services and solutions to investment advisers, municipal advisers, hedge funds, and broker-dealers. We offer full chief compliance officer (CCO) services, consulting, ...
Perform and/or oversee periodic testing of written policies and procedures to determine ongoing compliance. Ability to oversee and carry out the implementation and ongoing execution and enhancement of a full-scale compliance program. Preferably in a manager, officer, or director role. ...
Compliance Officer I - Compliance Testing ProgramsLOCATION -- Cincinnati, Ohio 45227. Responsible for conducting testing in accordance with the Compliance Testing Standards and Operating Procedures to ensure compliance with state and federal laws, rules, and regulations. Prepare reporting and active...
The Chief Compliance Officer (“CCO”) is ultimately responsible for the compliance functions of the RIA, Oxford Financial Group, LLC (“Oxford”) and the commodity pool operator. The person who is in this role may also serve as a BSA Officer of the Trust Company of Oxford (“TCO”), but is not an officer...
Compliance Officer II- Mortgage OriginationLOCATION -- Cincinnati, Ohio 45227. Leads in the identification and assessment of risks (Fair Lending, Responsible Banking, CRA) and the execution of procedures to evaluate the Bancorp's compliance with laws, regulations and industry standards. Analyzes dat...
The Chief Compliance Officer ensures compliance with regulations and controls by examining and analyzing records, reports, operating practices, and documentation; recommending opportunities to strengthen the internal control structure. Chief Compliance Officer, Medicare Advantage. Chief Compliance&n...
Compliance Officer II-Compliance Testing ProgramsLOCATION -- Cincinnati, Ohio 45227. Responsible for conducting testing in accordance with the Compliance Testing Standards and Operating Procedures to ensure compliance with state and federal laws, rules, and regulations. Prepare reporting and activel...
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...
The chief compliance officer is responsible for developing, maintaining, and monitoring regulatory compliance standards for the registered investment adviser and broker-dealer clients in the overall management of the client's compliance program, the application of compliance policies and pr...
Join Our Team as Chief Operating Officer (COO). The Crossroads Center is actively seeking a dynamic Chief Operating Officer (COO) who will provide visionary leadership to our organization. Serve as Compliance Officer, ensuring adherence to internal and external protocols and licensing requirements. ...
Please see Compliance Job Matrix for other key differences between Responsible Banking; CRA; Lending Compliance; Governance & Review; Specialty, BSA/AML; Financial Products Compliance. Partners with Compliance Director in advocating and facilitating the development, implementation, communication, an...
Receive complaints and distribute them to either in-house counsel or assign cases to appropriate outside counsel. Assistant General Counsel - Commercial Lending. Acts as lead in house counsel to senior management, department leaders, human resources, etc. Provide legal guidance and counsel to specif...
Team members should maintain or be willing to actively work to pursue the Certified Regulatory Compliance Manager (CRCM) certification or other relevant certifications. Audit Project Manager - Regulatory Compliance. We are seeking an individual to join our growing Internal Audit team supporting Regu...
Reporting directly to the SVP General Counsel/Chief Compliance Officer, the Associate General Counsel - Regulatory, Compliance, and IP (AGC) will establish strategy and provide legal advice and counsel relating to several subject matter areas, including FDA/TFC laws and regulations, intellectual pro...
In your role as an Environmental Compliance and Permitting Project Manager, the responsibilities would include managing and executing environmental permitting and compliance projects; developing SPCC Plans, SWPPPs, and NPDES permits; providing hazardous waste, hazardous materials, EMS, air quality, ...
Reporting directly to the Chief Operating Officer, the Associate Chief Operating Officer will serve as a vitally important leader in our organization and help drive the success of our schools. We are seeking an Associate Chief Operating Officer to join our Regeneration Schools team. The Associate Ch...
Serve as the Compliance Officer, ensuring adherence to internal and external protocols and licensing requirements. ...
Restricted Research Compliance Specialist Sr. Draft and maintain standard operating procedures for compliance in offices involved in export, travel matters, CUI compliance, and research data protection. Restricted Research Compliance Specialist Sr. It will assist in the day-to-day operation and impl...
As a Security Officer, you will serve and safeguard clients in a range of industries such as Commercial Real Estate, Healthcare, Education, Government and more. Provide customer service to our clients by carrying out safety and security procedures, site-specific policies and when appropriate, emerge...
Review completed recertification to ensure program compliance Perform both onsite and remote audits to confirm compliance with program requirement through follow-up and closure Monitor waitlists, LAP plans and EIV master binders for compliance with federal and state regulations Review and submit res...