The Senior Compliance Officer will work directly with the firm’s Chief Compliance Officer (“CCO”) to administer and support the RIA’s Rule 206(4)-7 compliance program, including, but not limited to, updating and maintaining the written policies and procedures and managing the compliance-related test...
Prior Head of Compliance or Chief Compliance Officer experience in finance, fintech, or crypto exchanges (prior experience scaling a global compliance program preferred). We are seeking an experienced Global Head of Compliance Executive to lead our distributed, global compliance team. Our department...
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...
We are seeking an experienced Chief Compliance Officer for our registered Swap Dealer. Our department prevents, detects and mitigates compliance and regulatory risks across the firm and helps to strengthen our culture of compliance. Manage and report on any incidents of non compliance, maintaining a...
Ability to analyze various compliance problems or regulations and develop effective solutions in conjunction with the Chief Compliance Officer. Masters Degree and additional education such as having attended the ICB/ABA Graduate Compliance School, Institute of Certified Bankers/American Bankers Asso...
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 CCO will manage examinations and communications with regulatory entities, handle regulatory filings, manage customer complaints, and perform ongoing compliance surveillance functions. Build out the current administration of companywide compliance program. Collaborate with 7 internal reps and CEO...
Perform Compliance due diligence for mergers and acquisitions. Assist the Fair Banking Director in developing compliance review programs. Assist lending staff in compiling and analyzing HMDA compliance metrics, drafting summary reports and recommendations associated with that analysis, and reporting...
The CCO will manage examinations and communications with regulatory entities, handle regulatory filings, manage customer complaints, and perform ongoing compliance surveillance functions. Build out the current administration of companywide compliance program. Collaborate with 7 internal reps and CEO...
Due to the growth, Paragon Staffing, LLC is looking for an Health and Safety Compliance Officer to join our team! Roles and Responsibilities Ensure that all Health & Safety policies, procedures, rules and regulations are adhered to and are regularly reviewed, updated and communicated. ...
Compliance Director in all aspects of the Fund Offices compliance with financial and reporting regulations pertaining to the administration of its retirement and health & welfare employee benefit and other (. Maintaining and updating the Compliance Calendar and monitoring organization-wide complianc...
Compliance Director in all aspects of the Fund Offices compliance with financial and reporting regulations pertaining to the administration of its retirement and health & welfare employee benefit and other (. Maintaining and updating the Compliance Calendar and monitoring organization-wide complianc...
Job Description | Manager, Pharmacy Compliance. Title | Manager, Pharmacy Compliance. Department | Quality/Compliance. Reports To | Director, Pharmacy Compliance. ...
The Compliance Data Analyst I will report to the GRC Senior Compliance Associate, and assist with ongoing data remediation, data quality checks, license verification from respective state boards to ensure federal, state and EU disclosure reports are reported timely and accurately on behalf of OAPI a...
The COO is a key leadership role responsible for overseeing and optimizing the day-to-day operations of multiple production and distribution facilities.This position plays a crucial role in developing and implementing strategies to drive growth, streamline processes, and ensure the highest level of ...
The Director, Compliance, will be responsible for establishing and updating compliance strategy and guidance for IBSA’s US commercial and medical operations in collaboration with the Global compliance team. Monitor and audit the effectiveness of the compliance program, and when necessary, conduct in...
This position is responsible for second shift quality compliance support of manufacturing operations. Ensure sustainable compliance to all regulations related to area of oversight (e. Review/approve SOP’s, Reports, Equipment/Method Qualifications/Verifications/Validations, Excursions, specifications...
The Compliance Specialist, Equipment Commissioning & Qualification, supports the successful operation of facility, laboratory, and business functions at multi-use sites through interaction with internal team members and peer-level customers as well as external service providers. The incumbent in thi...
Compliance Ops Associate - FINRA Series 24. Hennion & Walsh is seeking an experienced Compliance Ops Associate for our growing company. The position will work with our compliance team to help execute the firm's compliance program. The position will work to develop, enhance and implement internal com...
Gateway Group One Security Officers are responsible for meeting the day-to-day needs of customers and clients. ...
Managing Director, Investor Services and Compliance (North America). CSC Fund Solutions, North America is searching for an experienced and proven MD of Investor Services and Compliance with at least 15-20 years of related experience to join their senior leadership team. The focus of this role will b...
Hiring - Director, Associate General Counsel - Hybrid. We are seeking a commercial lawyer to provide general legal services at an exciting global company with U. Commercial lawyer with 7-10 years' experience in contract drafting and commercial transactions to provide legal review, advice, and suppor...
As a Responsible AI Monitoring & Compliance professional, you'll be experienced in ensuring that AI systems are developed, implemented, and maintained in a way that mitigates risks associated with AI. We're looking to grow our Responsible AI team and if you're experienced in Monitoring & Com...
The Senior Analyst of Compliance Awareness will perform various activities in support of the Regional Compliance Program for our client. This role reports to the Regional Head of Compliance for the Americas and Europe, and focuses on Compliance Training, Policy Writing and Compliance Communications....
Assistant General Counsel - Labor. This attorney is also responsible for managing outside counsel in labor arbitrations and proceedings before the National Labor Relations Board. ...