JCW is partnering with a leading investment management firm that's looking to build out their Marketing Compliance team. An ideal candidate will have prior experience reviewing marketing materials for FINRA/SEC compliance and will be Series 7 and 24 certified. Have experience reviewing marketing mat...
The Senior Compliance Analyst - Compliance Program is responsible for ensuring the Bank establishes all required compliance responsibilities in a manner that is incorporated in internal policies and procedures of applicable business processes. Coordinate and offers support to the bank's training dep...
The Compliance Officer II, Advisory is responsible for providing guidance related to regulatory compliance requirements in an advisory capacity and serving as a subject matter resource to all lines of business. Coordinates and offers support to the bank training department through recommendations co...
The Compliance Assurance Analyst will be responsible for leading and executing complex audits on a variety of systems, applications, processes, key performance indicators (KPIs) and metrics to support best in class compliance standards for NRG Retail brands. Meticulously review the information gathe...
Our nascent Financial Intelligence Unit (FIU) performs a critical role in the execution and management of our Bank Secrecy Act/Anti-Money Laundering (AML) compliance program: adhering to a set of required standards and processes regarding AML investigations; ensuring our compliance with applicable l...
IT Security Analyst - Risk and Compliance. Reporting directly to the Director, Information Security, the Security Analyst specialized in Risk and Compliance to join our dynamic team. Assist with the design, development, and execution of compliance program to ensure that technology and business proce...
The Chief Operating Officer (COO) will develop and implement a transformational set of services for the district that improves existing processes and systems. Reporting to the Chief Finance and Operations Officer, the COO will incorporate district-level goals into operational objectives, ensuring th...
Compliance Senior Analyst, Independence Consultation - Business Relationships, Independence & Conflicts Network (ICN). Do you have a focus on compliance with regulations and policies? Are you passionate about quality-assurance and risk-management in a professional services environment? Then our ...
This role will support the compliance programs for both SAM and the Funds and perform various compliance monitoring activities. In Compliance, we help our business partners achieve their strategic priorities by promoting principles and practices building client trust and safeguard the integrity of t...
Serving as the subject matter expert on a variety of compliance-specific topics and providing compliance advice and guidance to business partners. In Compliance, we help our business partners achieve their strategic priorities by promoting principles and practices building client trust and safeguard...
We are currently offering the opportunity for a dynamic and engaging compliance professional to join the team as a Senior Manager to conduct risk-based compliance testing within our Broker-Dealer and Investment Adviser programs. Though this is an Individual Contributor position, the Senior Manager w...
The ideal candidate is a seasoned Chief Operating Officer with a strong banking operations background, who is excited by the prospect of creating the playbook, thriving in the chaos of a startup environment, and embracing an entrepreneurial spirit. Proven experience as a Chief Operating Officer or i...
Manage and supervise a team of Team Lead(s), Senior Analysts and Analysts, executing across a variety of regulatory compliance and financial crime-related functions, to include, but not limited to, Bank Secrecy Act (BSA), Anti-Money Laundering, Office of Foreign Asset Controls (OFAC), Know Your Cust...
Manager, Regulatory Compliance will be the primary point of contact for Robinhood's money transmitter and credit card product regulators, and report directly to the Chief Compliance Officer for Robinhood Money, LLC and Robinhood Credit, Inc. You will be responsible for ensuring Robinhood embeds regu...
The University of North Texas System Office of General Counsel has an immediate opening for an Assistant General Counsel to join a dedicated team of attorneys and professional staff. The Assistant General Counsel will provide legal advice and services to UNT System and its component institutions as ...
The Assistant General Counsel will manage legal work and provide legal support to Company executives and commercial groups for the orthopedic and bone growth therapy product lines. This role reports directly to the VP, Associate General Counsel and will work closely with the Company’s Chief Legal Of...
The Director, Associate General Counsel will handle and prioritize multiple complex legal projects at the direction of the Company’s Chief Legal and Administrative Officer. Educating and counseling business unit management on legal issues. Retain and manage outside counsel providing specialized serv...
Associate General Counsel — The Pailin Group Professional Search Consultants. Associate General Counsel will focus on contractual and transactional work along with compliance and other company related legal matters. This role is an integral part of the legal team and reports to the Executive Vice Pr...
The responsibilities of the Financial Crimes Compliance Technical Fraud Manager will include, but are not limited to: . Working knowledge of loss and fraud detection/prevention principals, multiple fraud areas, compliance and regulatory issues related to the department and/or company. Knowledge...
Security Officers are dedicated security professionals with a demonstrated ability to work independently and as a member of a team in a fast-paced high-tech environment. Security Officers work as a team, patrolling the company’s properties via vehicle and foot and/or ensuring security at a series of...
As our Senior Manager, Technical Accounting & Financial Compliance , you will be the Internal Controls Process Lead for the Orthopaedics and Spine deployment of SAP. ...
The Senior Specialist, Quality Interventions / QI Compliance contributes to one or more of these quality improvement functions: Quality Interventions and Quality Improvement Compliance. Acts as a lead specialist to provide project-, program-, and / or initiative-related direction and guidance for ot...
Under general direction of the Senior Director, Diversion Control and Federal Investigations, and working closely with the Director of the Diversion Control, responsible for supporting all pharmacy inspections, pharmacy data analysis, and liaison with state and federal pharmacy regulatory authoritie...
The Manager of Compliance, Bone Growth Therapies, US Orthopedics (“Manager”) will assist the Chief Compliance and Risk Officer (“CCRO”) in managing, developing, and implementing various compliance initiatives for the business units. The Manager, in coordination with other members of the Compliance D...
Gift Policy and Compliance Manager. Bachelor's degree in a related field and a minimum of 4 years of relevant professional experience in accounting, compliance, audit, or other related field; or any equivalent combination of experience, education, and training. Collaborate with legal and compliance ...