Compliance Officer to identify and manage regulatory risk and implement an effective Compliance Program. Home State Bank is hiring a Compliance & CRA/Fair Lending Officer in Crystal Lake, IL. The Compliance & CRA/Fair Lending Officer assists the Sr. The CRA/Fair Lending Officer, in consultation with...
Engages in activities to provide support to the Compliance and Operational Risk teams in order to provide independent compliance and operational risk oversight of Front Line Unit or Control Function performance and any related third party/vendor relationships in alignment with the Global Compliance ...
The Senior Compliance Officer will support our culture of compliance while supporting our mission of helping DWS grow and service our clients. Senior AFC & Compliance Officer - Alternatives. The Senior Compliance Officer will support the Illiquids Alternative business lines in the Americas and p...
Banking, Business Operations, Compliance Policies, Compliance Programs, Developing Others, Ensure Compliance, Global Compliance, Leadership, Management Reporting, People Management, Proactive Approach, Regulatory Compliance, Regulatory Requirements, Relationship Management, Risk Assessments, Risk Co...
The Compliance Officer - FCM Advisor provides compliance advisory services for the FCM (futures commission merchant) entity as well as related IBs (introducing brokers), GIBs (guaranteed income bonds), and swap dealers. Compliance and Compliance Officers play a crucial role in ensuring that all acti...
The Associate General Counsel and Compliance Officer works closely with the General Counsel and the Chief Operating Officer to enhance and oversee Medexus’ legal and regulatory compliance program and provide reports to Medexus’ senior management team and board of directors on compliance ...
Reporting directly to the General Counsel, the Chief Compliance Officer will develop, implement, and monitor effective compliance programs and policies to ensure the company’s adherence to relevant laws, regulations, and ethical standards. EXCLUSIVE — Our client, a leading, public, technology manufa...
RemoteVAPH is looking for a Security and Data Compliance Officer with experience in SOC2 audits. We are seeking a Security and Data Compliance Officer to assist us in finalizing our security controls to comply with and pass a SOC2 audit. Ensure compliance with SOC2 requirements. Utilize SecureFrame ...
Position Summary: 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...
Administer the Code of Ethics, including employee personal trade reporting reviews, ensuring brokerage account electronic feeds are correctly maintained, and ensuring ongoing compliance responsibilities identified in the compliance calendar are addressed and resolved in compliance platform. LaSalle ...
Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) with oversight for the. Reporting to the Citi Retail Services Chief Compliance Officer, this role will provide compliance oversight of the Pricing & Statement Operations space, ...
The General Counsel and Chief Compliance Officer (GC/CCO) will guide the legal and compliance strategy for the firm and lead a team that will execute those initiatives daily. General Counsel & Chief Compliance Officer. Within the Business Department, the Compliance and Legal team serves in an ad...
VP – Compliance / BSA Compliance Officer – Up to $115K – Dallas, TX – Job # 2086Who We Are. Coordinating, supervising, and supporting the bank’s compliance-related programs, such as compliance training, compliance testing and reporting, disaster recovery, contingency planning, and records warehousin...
Compliance Officer Responsibilities:. Compliance Officer Requirements:. In this role, you will report directly to the Compliance Manager and play a critical part in ensuring their organization adheres to all relevant Federal, State and Agency regulations related to consumer loans, marketing and more...
Manage and review quarterly compliance reporting and findings to the Chief Compliance Officer and Board of Trustees. At the direction of the Chief Compliance Officer, assist in various compliance related matters. Deputy Chief Compliance Officer. We are a trusted Financial Services company that needs...
Track and follow up on outstanding compliance requirements. Security, Compliance and Regulatory Governance. ...
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...
Job Summary Under the general direction of the Contract Compliance Director and/or Deputy Director, monitors and evaluates contracts for compliance to the County's small Minority-owned Business Enterprises/Women-owned Business Enterprises Program (MBE/WBE) and contract terms. Works independentl...
Family and Medical Leave Act ; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision ....
This position is part of the Compliance Program Management team providing direct consumer compliance oversight and support of all marketing and advertising, including marketing efforts of the mortgage lending team. Assist the AVP Regulatory Change Management with oversight of the compliance change c...
The CAO role is one of a seasoned multi-disciplinary expert with extensive business and industry knowledge related to risk management and compliance focused on the execution of the Financial Crimes Compliance strategic direction. Under general supervision, the Chief Administrative Officer (“CAO”) is...
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...
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...
Assure that Compliance Program reports are produced for the Chief Executive Officer, Board of Directors, and/ or the Audit and Compliance Committee of the Board of Directors, as directed by the Chief Corporate Compliance Officer. The Compliance Officer is responsible for the ongoing development, imp...
Job Summary Under the general direction of the Contract Compliance Director and/or Deputy Director, monitors and assesses small business owner vendor applications requesting eligibility in the Minority-owned Business Enterprises, Women-owned Business Enterprises and Veteran-owned Business Enter...