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...
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 ...
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...
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...
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...
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. Within the Business Department, the Compliance and Legal team serves in an advisory capacity to Belvedere's trading, operatio...
DWS's Anti-financial Crime (AFC) and Compliance Testing team, a part of the AFC and Compliance Department, conducts reviews to evaluate the firm's compliance with applicable laws and regulations and to help ensure that control gaps are adequately escalated and mitigated through remedial actions. Con...
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...
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 consultat...
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. Within the Business Department, the Compliance and Legal team serves in an advisory capacity to Belvedere's trading, operatio...
The successful candidate will be the compliance program lead working closely with other employees of the compliance department, business partners, legal team, portfolio management and operations teams, and other service providers and stakeholders on the daily administration of the compliance program...
Compliance Officer Responsibilities:. Compliance Officer Requirements:. This role will focus on regulatory compliance, OSHA claims investigations and audits. Develop, implement and oversee company-wide compliance programs to ensure adherence to OSHA regulations and other relevant laws. ...
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 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 th...
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...
Broker dealer located in Chicago looking to bring on board a “Compliance Officer -FCM Advisor” to join their team. Support the Head of FCM Compliance by providing Compliance Advisory services to FCM (futures commission merchant) business line. Collaborate to ensure Compliance Calendar deadlines are ...
Job Description - CERTIFICATION COMPLIANCE OFFICER (OFFICE OF CONTRACT COMPLIANCE) SEIU 73 (00134887). 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 B...
Experience in conducting investigations, analyzing basic business operations, verifying compliance with specific laws or activities in the petroleum industry. Experience analyzing complex business operations, verifying compliance with fuel tax laws or activities in the petroleum industry. ...
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...
Work closely with management and members of the SXM compliance team and other functional areas across the firm ensuring an appropriate compliance framework to meet the firm’s compliance and regulatory obligations. Responsible for identifying areas of compliance improvement, strategize solutions to i...
Are you ready to use your compliance skills for one of the world’s largest FinTech organizations? Do you want to work for a global business that is committed to moving money for the better? Are you interested in joining a globally diverse organization where our unique contributions are recognized an...
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...
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 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 provi...
Family and Medical Leave Act ; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision ....