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Regulatory compliance attorney Mortgage Banking The candidate will ... implementing policies and procedures in compliance with various federal regulations and ... broker and other licensing requirements compliance audits Must have..
Deputy Chief compliance Officer Retail RIA The candidate ... developing and maintaining a robust compliance program with a focus on ... program with a focus on compliance with all laws..
Ethics and compliance Counsel Duties The candidate will ... carry out all ethics and compliance responsibilities that are delegated Oversee ... for inquiries regarding ethics and compliance Where appropriate own..
Manager Compliance - Personal Securities Trading Duties: ... operations which consist of reviewing compliance reports, managing the preclearance approval ... Partner with local business unit Compliance Officers to execute or..
NFRR Compliance & Operational Risk Manager The candidate will be advising Front Line Units (FLU) and Control Functions (CFs) across the enterprise on processes, controls, laws, rules and/or regulations which impact ..
Senior Compliance Counsel The candidate will provide ... advise on legal and regulatory compliance matters across the company, including ... across the company, including product compliance, pricing, promotions and marketing..
Regulatory Compliance Attorney – Mortgage Banking The candidate ... implementing policies and procedures in compliance with various federal regulations and ... broker and other licensing requirements. Compliance audits. Must have..
Employment Attorney The candidate will provide excellent advice and guidance to clients and colleagues on a variety of legal matters. Build trusting relationships that allow the business to make well-informed decisions. ..
Lead Compliance Officer The candidate will provide ... monitoring of business group risk-based compliance programs. Will maintain compliance risk expertise and consulting for ... standards and programs to drive compliance..
Principal Compliance Specialist Duties: Maintains and enhances ... in support of the overall compliance program components. Assists with researching ... components. Assists with researching regulatory compliance requirements and evaluating the..
Attorney – Commercial Banking Responsibilities: Legal support for related transactional matters such as bankruptcy and debtor-in-possession financings, workouts and restructuring, and, on a limited basis, litigation. Close working partnership with line ..
The Mid-Level Fund/Leveraged Finance Associate Attorney will be responsible for providing legal support in secured and unsecured lending transactions, including fund financings, acquisition financings, leveraged finance deals, bridge loans, and other ..
Ethics and Compliance Counsel Duties: The candidate will ... carry out all ethics and compliance responsibilities that are delegated. Oversee ... for inquiries regarding ethics and compliance. Where appropriate, own..
Senior Manager Compliance Programs Duties: Manage a team ... team that maintains and enhances compliance program components. Provide support, coaching, ... annual performance evaluations. Research regulatory compliance requirements and develop..
Compliance Director I The candidate will ... develop and maintain a robust compliance program, with a focus on ... program, with a focus on compliance with Section 1071, and other..
Compliance Officer - Securities Industry The ... support (CCO Support) to Chief Compliance Officers (CCOs) for multiple series ... (Trusts). Will assist in the compliance oversight of service providers to..
Senior Principal Compliance Specialist, Fair Banking The candidate ... manages, regulatory exams, audits, and compliance tests. Assesses the risk raised ... and knowledge of fair banking compliance requirements and identifies..
Private Bank National Practice Leader The candidate ... sales liaison for the Private Bank Managing Directors to drive growth ... key leaders in the Private Bank job functions to develop..
... manages, regulatory exams, audits, and compliance tests. Assesses the risk raised ... and knowledge of fair banking compliance requirements and identifies fair banking ... manages, regulatory exams, audits, and..
Principal Compliance Specialist The candidate maintains and ... in support of the overall compliance program components. Assists with researching ... components. Assists with researching regulatory compliance requirements and evaluating the..
Principal Compliance Specialist Duties: The candidate maintains ... and knowledge of Fair Lending compliance requirements (including Americans with Disabilities ... are implemented to facilitate regulatory compliance. Assists in evaluating the..
Compliance Director II – Section 1071 ... initially establish the Section 1071 Compliance program and business requirements across ... be overseeing the newly created Compliance team on an ongoing basis..
Counsel Duties: The candidate provides legal advice and guidance on the design and operation of various compensation programs and employee benefits plans. Manage and support regional and global projects relating to ..
Senior Compliance Officer The candidate will conduct ... candidate will conduct and direct compliance risk oversight of Enterprise Compliance Programs, with an emphasis on ... English Proficiency. Lead and execute..
Senior Manager Compliance Programs, Corporate Functions Duties: The candidate will manage a team that maintains and enhances compliance program components, including, but not limited to assessing regulatory changes, evaluating risk associated ..
Principal Compliance Specialist, Fair Lending The candidate ... activities and work are in compliance with all applicable fair lending ... and knowledge of Fair Lending compliance requirements (including Americans with..