Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains ri...
A company is looking for a Compliance Officer. ...
This role offers the unique opportunity for compliance professionals to work closely with and learn directly from the Chief Compliance Officer. Collaborate closely with the Chief Compliance Officer to address any compliance-related issues. A boutique investment management firm is seeking a Complianc...
A company is looking for a Compliance Officer to develop and manage the AML/CFT program. ...
Compliance Officer – Trade Compliance and Generalist (New York, NY). This new hire will be reporting to the Chief Compliance Officer and be the go to compliance resource in the New York Office. Our client a Hedge Fund with over $2B in AUM is seeking a Compliance professional to join their growing le...
A company is looking for a Clinical Compliance Officer responsible for ensuring adherence to healthcare regulations in a remote care management environment. HIPAA, HITECH, CMS)Willingness to obtain Certified Professional in Healthcare Compliance (CPHC) certification within the first 8 months. ...
Wolfe Research is seeking an experienced Compliance Officer to work alongside a team of six Legal and Compliance professionals in building and maintaining extraordinary broker-dealer and investment adviser compliance programs at a dynamic and fast-growing research firm. The Compliance Officer will c...
Click on Learn more about this agency button below to view Eligibilities being considered and other IMPORTANT information.WHERE CAN I FIND OUT MORE ABOUT OTHER IRS CAREERS? Visit us on the web at www.Yes-as determined by the agency policy.You may be expected to travel for this position.Relocation ex...
Our fast-paced Compliance team is looking for a Compliance Monitoring Officer with experience in performing compliance monitoring procedures in the payments and/or finance industry. Collaborate with the compliance team on the further development of the compliance program;. Contribute in the planning...
Develop, implement, maintain, and administer the Bank’s Compliance Management System, which includes but is not limited to developing and executing applicable risk assessments, scheduling and reporting on compliance testing, as well as drafting and updating compliance policies and procedures. Retail...
Provide advisory services to staff and management and to the Regional Coveringpliance Managers (RCCM) and, at times, the Chiefpliance Officer (North America) on significantpliance matters and issues;. ...
As a Compliance Officer, you will be responsible for ensuring that the company and its employees comply with internal policies and external regulations. You will conduct audits, assess risk, and implement compliance programs to mitigate legal and regulatory risks. Develop and implement compliance po...
Senior Compliance Officer - Trade / Export Control - Legal & Compliance. The Compliance Officer will maintain compliance with applicable customs / export and other government agency laws and regulations and provide support for all Bloomberg entities globally. The Global Compliance team within Bloomb...
Identify and prioritize regulatory and compliance risks associated with Capital Markets, align, and execute the Capital Markets compliance program, and conduct periodic compliance risk assessments. Investment bank located in Midtown Manhattan looking to bring on board an “VP Investment Banking Compl...
The Compliance Officer will be responsible for developing, implementing, and overseeing the compliance programs for our real estate and property management operations. Compliance Officer - Real Estate. ...
Senior Data Privacy Compliance Officer - Legal & Compliance. The Data Privacy Compliance team works closely with our Legal counterparts, business and engineering stakeholders to ensure compliance with current/developing rules and regulations, implement global training and communication programs and ...
As a Compliance Officer, you will be responsible for ensuring that the company and its employees comply with internal policies and external regulations. You will conduct audits, assess risk, and implement compliance programs to mitigate legal and regulatory risks. Develop and implement compliance po...
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...
Communicate with sales and trading management and US Compliance personnel on relevant compliance issues, the regulatory environment, and Compliance Department initiatives by actively participating in relevant business forums and internal meetings. Coordinate with Internal Control on compliance risk ...
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 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...
CIB Americas Compliance seeks a VP-level Compliance Officer to contribute at the CIB Americas Control Room and support a dynamic CIB Americas Compliance Department. The Compliance Officer will have direct coverage responsibility to oversee and review deal-related conflicts issues. The Compliance Off...
Identify and prioritize regulatory and compliance risks associated with Capital Markets, align, and execute the Capital Markets compliance program, and conduct periodic compliance risk assessments. Investment bank located in Midtown Manhattan looking to bring on board an “VP Investment Banking Compl...
The Investigation and Compliance Unit, to which this position belongs, updates and provides guidance to agency EEO Officers on investigative and reasonable accommodation processes, develops and presents legally mandated non-discrimination training curricula, conducts very time-sensitive high level d...
Communicate with sales and trading management and US Compliance personnel on relevant compliance issues, the regulatory environment, and Compliance Department initiatives by actively participating in relevant business forums and internal meetings. Coordinate with Internal Control on compliance risk ...