A company is looking for a Chief Compliance and Privacy Officer (Remote). ...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Testing team responsible for assessing compliance risks and controls implemented by the first and second line of defense. VP, Compliance Testing Officer - Hybrid. Internal Job Title: Compliance Testing Officer- C...
A company is looking for an Export Compliance Officer to support and drive export control compliance processes. ...
Interactive Brokers | Compliance Officer – Electronic Trading. ...
A company is looking for a Medicare Compliance Officer to lead their Medicare Compliance team and ensure adherence to regulatory requirements. ...
Other duties not listed here may be assigned as necessary to ensure the pr Compliance Officer, Director, Electronic, Officer, Compliance, Business Services, Regulatory. ...
Seeking an experienced compliance officer to join our team as the new Director, Electronic Trading Compliance Officer. In this role, the compliance officer will be responsible for ensuring compliance with all relevant U. Director, Electronic Trading Compliance Officer, U. Ensure compliance with rele...
The Compliance Officer - Broker Dealer Sales Practices will work with Distribution Personnel and will focus on compliance with US and Latin America sales practices including:. The Global Compliance group is responsible for ensuring that Franklin Templeton follows all rules and regulations and that i...
Large Business and International, Director, Withholding, Exchange and International Individual Compliance (WEIIC), DFO IIC. Identify issues to be pursued based on large, unusual or questionable items that produce a significant tax or compliance effect and utilizes the tax law and facts needed to res...
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...
The primary responsibilities of the Compliance Testing Officer include:. Managing the firm’s annual compliance testing program. Assist in the development of the firm’s compliance testing program, including testing procedures, methodologies, risk assessments and frequency schedules to comply with rel...
Global Regulatory Compliance, Mutual Funds is a five-person team responsible for overseeing the compliance programs of the US domiciled registered investment companies for the Chief Compliance Officers. Support the Chief Compliance Officers (CCOs) in the preparation, assembly, and dissemination of t...
Support the Code of Ethics Program, including oversight of all personal securities trading, periodic attestations and certifications and related staff regulatory reporting obligations.Administer and manage a regional Code of Ethics programs, across multiple branch offices and investment platforms.In...
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...
Collaborate with compliance consultants on compliance monitoring schedule, annual enterprise-wide compliance risk assessment, monitoring reviews and other risk assessments. This individual will be responsible for overseeing and managing all compliance-related activities within the organization and a...
A company is looking for a Senior Compliance Associate - Quality Assurance. ...
A company is looking for a Temporary Senior Compliance Specialist in Healthcare/Cardiology (Remote). ...
A company is looking for a Logistics and Compliance Manager II to support operations, sales, and finance teams regarding shipping and compliance. ...
A company is looking for a Manager, Internal Audit & SOX Compliance. ...
A company is looking for an Associate General Counsel I to assist in various legal functions within the Legal Department. ...
A company is looking for a Director of Grants & Compliance to lead the development of compliance infrastructure and manage grant activities. ...
A company is looking for an Analyst, Compliance (Investigations). ...
A company is looking for an Associate Director, Clinical Operations - Quality & Compliance. ...
A company is looking for a Compliance Risk Management Director - Consumer Protection Office & Fair and Responsible Banking Officer. ...
A company is looking for a Director, Compliance. Key Responsibilities:Manage a variety of litigation & dispute resolution matters across the companyOversee the compliance program, including contractual compliance, data privacy, and risk assessmentSupport securities law, corporate governance, and com...