A successful Compliance Officer will support the Chief Compliance Officer (CCO) to ensure compliance with applicable consumer banking and BSA regulatory requirements by completing compliance testing and quality control reviews using established monitoring procedures to determine effectiveness of int...
Together with the Chief Compliance Officer, manage the Bank's Compliance Management System (CMS), including the following:. Provide compliance training to Bank staff and coordinate with the Learning and Development Officer regarding the assignment of computer-based compliance courses. Prepare an ann...
Compliance officer that will be responsible for supporting the local compliance program and related regulatory obligation. Assist with the development of specific aspects of a compliance program related to the operation of an SEC Registered U. Support the local compliance monitoring and testing prog...
The successful candidate will report to the Chief Compliance Officer of 50 South and also the Alpha Strategies Fund, a registered closed-end fund managed by 50 South. This position is part of Northern Trust's Asset Management ("NTAM") Compliance team, led by the Head of Compliance for Asse...
In addition, the Compliance Officer will also be expected to work with the Chief Compliance Officer ("CCO"), Deputy CCO, and other senior leaders on strategic initiatives and essential workstreams. Directly working with and supporting our Deputy-Chief Compliance Officer and Senior Complian...
Collaborate with compliance consultants on compliance monitoring schedule, annual enterprise-wide compliance risk assessment, monitoring reviews and other risk assessments. Ensure compliance with all lending and deposit Federal and State consumer compliance banking laws and regulations and adherence...
A growing, boutique private equity fund is seeking a leader for their compliance program in a Chief Compliance Officer role based in Stamford, CT on a hybrid schedule. The company seeks someone with experience at a private equity firm who is familiar with the compliance requirements and relevant reg...
Compliance officer that will be responsible for supporting the local compliance program and related regulatory obligations. Assist with the development of specific aspects of a compliance program related to the operation of an SEC Registered U. Support the local compliance monitoring and testing pro...
The successful candidate will report to the Chief Compliance Officer of 50 South and also the Alpha Strategies Fund, a registered closed-end fund managed by 50 South. This position is part of Northern Trust’s Asset Management (“NTAM”) Compliance team, led by the Head of Compliance for Asset Manageme...
The primary responsibilities of the Compliance Testing Officer include:. Managing the firm’s annual compliance testing program. Assist in the development of the firm’s compliance testing program, including testing procedures, methodologies, risk assessments and frequency schedules to comply with rel...
This is a contract opportunity.Position: Phlebotomist 8361Location: Issaquah, WASchedule: see belowProjected duration: 3 months + potential for permJob code:CVDJP00028361 benefits are available two positions open , will need one candidate to work 7:30AM to 4:30PM PST and the other worker will need t...
The CCO is responsible for all compliance and supervisory functions while being a liaison for the firm leaders and may designate other individuals for compliance assistance, such as maintaining logs, compliance research, etc. MONECO Advisors, LLC (Fairfield, CT) Seeking Chief Compliance Officer. Con...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Testing team responsible for assessing compliance risks and controls implemented by the first and second line of defense. VP, Compliance Testing Officer - Hybrid. Internal Job Title: Compliance Testing Officer- C...
Compliance officer that will be responsible for supporting the local compliance program and related regulatory obligations. Assist with the development of specific aspects of a compliance program related to the operation of an SEC Registered U. Support the local compliance monitoring and testing pro...
Provide compliance and conduct risk subject matter expertise in an investment banking context, sound practices and appropriate guidance to the NWM Chief Compliance Officer and nominated officers, including the first line. Lead the regional Compliance & Conduct Advisory teams, implementing the st...
The CSCU Chief Compliance Officer provides administration, vision, strategic direction, guidance, coordination, and is. The CSCU Chief Compliance Officer maintains a high degree of interaction. The CSCU Chief Compliance Officer informs and advises the Board of Regents Audit. Officer ensures system w...
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...
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 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...
Compliance officer that will be responsible for supporting the local compliance program and related regulatory obligations. Assist with the development of specific aspects of a compliance program related to the operation of an SEC Registered Investment Advisor, including integration work. Support th...
Serve as the point of contact for key compliance functions such as Global Trade Compliance and EH&S, helping drive awareness and compliance of relevant policies. Serve as the dedicated Ethics and Compliance Officer for the Enterprise Services business (). Partner with the RTX Corporate Global Ethics...