This team focuses on several key compliance risk types, including consumer compliance, investment banking related compliance, conduct, regulatory compliance, reputation, strategic, and technology risk. Managing compliance-driven initiatives and/or processes which require close partnership with compl...
Billion Alternative Asset Manager Seeks a Chief Compliance Officer. Reporting to the Deputy Chief Compliance Officer. Work Closely Across all Compliance Groups/Teams. Streamline & Improve Compliance Workflow. ...
The Employee Compliance Officer will join a team that is responsible for implementing the firm's policies on personal trading and investments, outside business activities, political contributions, and certifications and attestations. This position reports to the Head of Employee Compliance in the SM...
Billion Alternative Asset Manager Seeks a Chief Compliance Officer. Reporting to the Deputy Chief Compliance Officer. Work Closely Across all Compliance Groups/Teams. Streamline & Improve Compliance Workflow. ...
This team focuses on several key compliance risk types, including consumer compliance, investment banking related compliance, conduct, regulatory compliance, reputation, strategic, and technology risk. Role DescriptionSMBC Group is seeking a Compliance Transformation Officer for the Compliance Depar...
Provide ideas for the enhancement of the compliance testing program, monitoring plan, and industry research, leveraging Compliance advisory. Compliance Testing Program, a critical program element of the U. Regulatory Compliance Management (RCM) framework for RBC Combined U. Leading compliance testin...
Cross River’s Compliance teams make sure that our business is always consistent with current regulations, and as Chief Compliance Officer, you play a key role. We are looking for a Chief Compliance Officer to ensure that our operations, our third-party providers, and business transactions follow all...
Serves as a compliance risk officer program support for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework...
This team focuses on several key compliance risk types, including consumer compliance, investment banking related compliance, conduct, regulatory compliance, reputation, strategic, and technology risk. SMBC Group is seeking a Compliance Transformation Officer for the Compliance Department Americas D...
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. ...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. Partici...
Serves as a Control Group compliance officer, specifically relating to research publications for the Independent Compliance Risk Management (ICRM) department. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the Research Dep...
As a Compliance, Conduct and Operational Risk (CCOR) Associate, you will effectively partner with Line of Business (LOB) and global/regional Compliance teams; including Internal Audit, Operational Risk and other Control functions. Execute on key strategic Compliance initiatives within the context of...
Creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews.Improving surveillance tools and applications by coordinating with Information Technology on the timely implementation of enhancements and proactively addressing potential issues.Gathering, reviewing, inv...
Chief Compliance Officer Swap Execution Facility. Serve as Chief Compliance Officer (CCO) advising on day-to-day issues for all Swaps executed through the Firm’s Swap Execution Facilities (“SEF”). Assist in pulling the necessary information for regulatory reviews, audits and other examinations Activ...
The Employee Compliance Officer will join a team that is responsible for implementing the firm’s policies on personal trading and investments, outside business activities, political contributions, and certifications and attestations. This position reports to the Head of Employee Compliance in the SM...
Provide ideas for the enhancement of the compliance testing program, monitoring plan, and industry research, leveraging Compliance advisory. Compliance Testing Program, a critical program element of the U. Regulatory Compliance Management (RCM) framework for RBC Combined U. Leading compliance testin...
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...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. Partici...
The Compliance Analyst will operate under the direction of the Compliance AVP and/or Compliance lead and is responsible for assisting with the maintenance and regulatory compliance of all assigned products offered by Crum & Forster A&H Division, including product development and filings with state i...
Ocean Freight Compliance Manager. DHL is hiring an Ocean Freight Compliance Manager to join our team near one of our US offices. You will be the lead point of contact for all ocean freight compliance matters relating to DHL Global Forwarding and your role will include, without limitation, establishi...
For the HR Compliance Specialist position, this role will require creating and maintaining policies and procedures. The position will plan, direct, or coordinate activities for the company to ensure compliance are within ethical and regulatory standards including ACA, HIPAA, and more. Collaborate wi...
The Regulatory Affairs Labeling Senior Associate is a key member of the Regulatory Affairs Labeling team and will report directly to the Regulatory Affairs Labeling Director. The Regulatory Labeling Senior Associate will be responsible for the development/revision of labeling content along with the ...
In the role, you will be the Head of Compliance for the Private Equity arm of the business. You will liaison with various compliance heads of the firm and very senior level management. Flexible hybrid schedule (4 days in the office, 1 day remote). It is a very high profile opportunity and very impor...
Job Overview – Compliance Managing Director:. Our client, a Private Equity firm, is seeking a Compliance Managing Director for their growing team. Responsibilities as the Compliance Managing Director:. Collaborate with compliance heads in all groups to integrate and implement compliance policies and...