administration; advisory firm set-up, regulatory registration and infrastructure design; ongoing regulatory compliance (SEC, CFTC..., and 40 Act); financial controls and operational support services; compliance and operational related projects and reviews...
, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the.... Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory...
for every future! Purpose The Conduct Compliance Officer coordinates tracking, measurement, and management for conduct... implementation of a conduct and consequences program to reinforce a culture of compliance at the Bank. Provide day-to-day compliance...
Compliance Operations/ Mostly Remote Occasional travel required for meetings and audits, approximately 3 to 5 days per quarter... communications and submissions to regulatory agencies are in compliance with applicable requirements for all lines of business...
Job Description: Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the..., customers and communities. Our culture in Global Financial Crimes Compliance is all about thinking outside the box, challenging...
landscape. The Compliance Monitoring Analyst role is a full-time position in NBCUniversal's DLS Monitoring team. This role... compliance with regulatory and policy requirements.The Compliance Monitoring Analyst will be responsible for defining, analyzing...
landscape. The Compliance Monitoring Analyst role is a full-time position in NBCUniversal's DLS Monitoring team. This role... compliance with regulatory and policy requirements.The Compliance Monitoring Analyst will be responsible for defining, analyzing...
for every future! Purpose The Conduct Compliance Officer coordinates tracking, measurement, and management for conduct... implementation of a conduct and consequences program to reinforce a culture of compliance at the Bank. Provide day-to-day compliance...
Job Description: Job Title: Fixed Income Compliance Officer Location: New York, NY Firm Overview: Cantor... to be distributed internally. Conduct compliance training for new and existing regulations and firm policies. Monitor TRACE and MSRB...
Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM) responsible.... Responsibilities: Designing, developing, delivering and maintaining best-in-class Compliance, programs, policies and practices...
Join VillageCare as a Full-Time Compliance Specialist and become an integral part of a forward-thinking organization... while ensuring our compliance standards remain top-notch, directly impacting the quality of care we provide to our members. The role...
Job Description: Global Compliance Our division prevents, detects and mitigates compliance, regulatory... and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through...
Serves as key credit cards product and unsecured lending compliance risk manager and thought leader for Independent... Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs...
, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound... - eDiscovery Compliance and Data Controller, you will be accountable for reviewing, monitoring, and implementing strategies...
, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding...
an experienced Compliance Officer to join the Fortress Legal and Compliance Department and will report directly to the firm's Chief... Compliance Officer. Fortress is a SEC-registered investment adviser (operating in multiple foreign jurisdictions...
Min: USD $65,000.00/Yr. Max: USD $80,000.00/Yr. Position Overview: TITLE: Compliance Specialist DIVISION/DEPT....: Quality Assurance and Compliance REPORTS TO: Vice President, Quality Assurance and Compliance SUPERVISES: NA FLSA...
an experienced Compliance Officer to join the Fortress Legal and Compliance Department and will report directly to the firm's Chief... Compliance Officer. Fortress is a SEC-registered investment adviser (operating in multiple foreign jurisdictions...
Consultant to Senior Consultant - Financial Services - Risk & Compliance About Baringa: We set out to build the...
for every future! Purpose Seeking a detail-oriented Senior Audit Manager who is seasoned Compliance Auditor with significant... their expertise to lead compliance audits for trade surveillance to identify potential market abuse and work collaboratively...