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USMI chief compliance officer & Ombudsperson The candidate will ... USMI’s operations are conducted in compliance with ethical business practices, internal ... develops, implements, and maintains USMI’s compliance strategy, structure..
Deputy chief compliance officer The candidate will ensure the ... to help ensure firm’s high compliance standards are incorporated and implemented. ... clients to help implement their compliance policies. Work..
... key member of the Bank compliance team, the compliance officer will report to the Bank ... report to the Bank Risk officer and will oversee the compliance function for..
Chief Compliance and Privacy Officer Duties: Will oversee organization's compliance program, functioning as an independent ... body that reviews and evaluates compliance issues/concerns within the organization. Ensure ... management and..
Chief Compliance Officer The candidate will oversee all ... all aspects of the firm’s compliance with these laws in addition ... procedures associated with Company’s regulatory compliance program. Prepare and..
EVP, Chief Compliance Officer The candidate will be responsible ... for the day-to-day management of Compliance functions including: Policy Management, Registration ... Policy Management, Registration & Licensing, Compliance Education, Regulatory..
... key member of the Bank Compliance team, the Compliance Officer will report to the Bank ... report to the Bank Risk Officer and will oversee the compliance function for..
VP Chief Compliance Officer - Medicare Advantage The candidate ... Oversees and directs regulatory and compliance functions for health plan operational ... as needed relative to Medicare compliance program activities...
Chief Compliance Officer The candidate reports directly to ... all components of the Corporate Compliance program. Serves for ensuring compliance with all Federal healthcare laws ... and procedures, the oversight..
Deputy Chief Compliance Officer The candidate will ensure the ... to help ensure firm’s high compliance standards are incorporated and implemented. ... clients to help implement their compliance policies. Work..
Chief Compliance Officer - Funds Company The candidate ... enforce all company and fund compliance policies, procedures and framework required ... the boards providing guidance on compliance, client guidelines, changing..
VP - Deputy - Global Chief Compliance Officer The candidate will lead and ... and other policies to ensure compliance with applicable laws and regulations. ... of both core and..
AVP, Sr. Compliance Monitoring Officer Job Locations US-CA-Irvine ID 2017-2587 ... # of Openings 1 Category Compliance Overview Supports the monitoring of ... Supports the monitoring of regulatory compliance within..
Chief Compliance Officer The candidate will direct all ... will direct all ethics and compliance initiatives globally. Will develop and ... strategic plan for the global compliance group that is..
Managing Director, Chief Compliance Officer – Regulatory Control Matrix and ... Sector: Asset Management Risk Type: Regulatory/Compliance Expertise: Regulatory/Compliance Primary Location: United States,New York,New ... Education: Bachelor's Degree Job Function:..
Vice President-Compliance Officer-AML Monitoring Cards Sector: Asset Management ... Sector: Asset Management Risk Type: Regulatory/Compliance Expertise: Regulatory/Compliance Primary Location: United States,New York,Long ... Education: Bachelor's Degree Job Function: Compliance and..
Chief Compliance Officer The candidate will be responsible ... implementing, overseeing and measuring the compliance program for the SEC registered ... RIAs, including the overlap of compliance functions relating to..
Title: AVP Chief Compliance Officer Location: 601 Congress Street Boston, ... Summary Reporting to the U.S. Chief Compliance Officer, the AVP and Chief Compliance Officer of John Hancock Personal Financial..
... a hunt for a Deputy Chief Compliance Officer to join their team in ... exiting responsibilities.. Work with the Chief Compliance Officer, and other members of leadership, ... to..
AVP Chief Compliance Officer in Boston Massachusetts Title: AVP ... in Boston Massachusetts Title: AVP Chief Compliance Officer Location: 601 Congress Street Boston, ... Summary Reporting to the U.S. Chief..
Vice President, Global Chief Compliance Officer The candidate will protect the ... protect the safety, soundness and compliance/reputation risks of the Company by ... and enhancing the Company’s regulatory compliance..
nResponsibilitiesnAdministration of the BD and RIA Compliance Program.nDrafting, revising, and implementing all WSP's (Written Supervisory Procedure), compliance manuals, policies and procedures.nMaintaining registration requirements for all registered representatives of the broker-dealer.nMonitoring the ..
... direct and administer the Bank’s compliance program to assure compliance with a broad range of ... and regulations pertaining to banking compliance. To assist in compliance with other bank..
Deputy Chief Compliance Officer-Austin, TexasReports To: Chief Compliance Officer&Summary:&Our&client is the world's leading platform ... other interactions—all within a rigorous compliance framework. Global, technology-driven, and nimble, ... join the Company's..