Job Summary As a Manager within the US Internal Audit Compliance, Human Resources and Legal team, you will execute... (CAO) and Compliance groups. Job Description What is the opportunity? As a Manager within the US Internal Audit...
activities to ensure that the organization adheres to legal, regulatory, and internal policies and standards. This position... in compliance, audit, regulatory, or risk management functions Knowledge of laws and regulations such as FINRA rules, SEC rules...
activities to ensure that the organization adheres to legal, regulatory, and internal policies and standards. This position... in compliance, audit, regulatory, or risk management functions Knowledge of laws and regulations such as FINRA rules, SEC rules...
Independent Testing (CIT) Manager and/or Head of CIT in order to assess and review compliance with legal, regulatory and internal... with a financial services firm and/or self-regulatory organization in a Compliance Testing, Internal Audit or regulatory related...
functional supervisory SLA team (i.e., Legal, Finance, Tax, Compliance, Third Party Risk, etc.) in Canada to help facilitate the...; legal, finance, tax and compliance and also the business sponsors of the request they are managing. There may...
Coordinator will work closely with the local functional supervisory SLA team (i.e., Legal, Finance, Tax, Compliance, Third Party... interactions with the following departments; legal, finance, tax and compliance and also the business sponsors of the request s/he...
Coordinator will work closely with the local functional supervisory SLA team (i.e., Legal, Finance, Tax, Compliance, Third Party... interactions with the following departments; legal, finance, tax and compliance and also the business sponsors of the request s/he...
will have almost daily interactions with the following departments: legal, finance, tax and compliance and also the business sponsors of the... process, manager version control, channel feedback, and provide clarifications with the support of the legal department...