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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..
Branch Examiner The candidate will review and research branch office activities to identify red flag issues and determine compliance with firm and regulatory rules and procedures. Will communicate with branch managers ..
Corporate Attorney The candidate will have significant experience with federal and state securities compliance, including, without limitation, IPOs and the preparation of securities disclosure documents for both publicly traded and privately ..
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..
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..
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..
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..
Principal Compliance Specialist, Corporate Functions and Payment ... with the research of regulatory compliance requirements and evaluating the adequacy ... identification, assessment, and communication of compliance program risks and controls...
Principal Legal Risk Duties: Leads, maintains, and enhances the Organization's regulatory change program. Responsible for the oversight of the Regulatory Library inventory of laws and regulations the identification of regulatory changes, ..
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 ..