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Chief compliance officer The candidate will develop and ... conduct Maintain high-level oversight of compliance and risk management and organization ... to employee complaints Develop regular training on rules regulations..
Chief Ethics and compliance officer Responsibilities Report to the General ... the General Counsel Lead the compliance team Develop strategies and lead ... will advise internal stakeholders on compliance with..
VP compliance officer The candidate will be maintaining ... The candidate will be maintaining compliance policies and procedures for assigned ... conducting risk assessments and periodic compliance testing maintaining oversight..
... for a motivated and talented compliance officer who is familiar with securities ... regulations is preferred. Responsibilities: The Compliance Officer – Advisor Regulation will be ... be responsible for:..
Health Plan Compliance Officer Responsibilities: Serve as key point ... with the health plan regarding Compliance issues, Regulatory Audits and Corrective ... Actions. Develop and manage site Compliance Oversight Committee..
Global Chief Compliance Officer- Broker Dealer The candidate will ... to sales and trading. Oversight AML/KYC. Upgrade platform (policies, testing/monitoring). Control ... function oversight. Establish firm wide training policies. JD..
Chief Compliance Officer The candidate will serve as ... will serve as the primary Compliance Team resource for BHS, the ... be responsible for the BHS Compliance control structure. Will..
Security Based Swap Dealer Compliance Officer Duties: Responsible for compliance and regulatory matters relating to ... the BNS Swap Dealer Chief Compliance Officer in the implementation of and ... as..
Executive Privacy and Security Compliance Officer (Executive Network Compliance Officer Level II) 120000 Duties: With ... with the CCO and other Compliance Officers, identify risk factors for ... development of..
Bank Trust Compliance Officer The candidate oversees the firm's ... The candidate oversees the firm's compliance function, as well as playing ... firm's Trust business lines, coordinating training programs for..
Corporate Vice President, Compliance Officer The candidate will assist in ... developing, monitoring, and maintaining effective compliance policies and procedures in accordance ... Assess and test the Firm’s compliance with..
Chief Compliance Officer The candidate will report to ... develop and motivate a small compliance team while providing support to ... work within the legal and compliance team, but within..
Chief Compliance Officer The candidate will develop and ... conduct. Maintain high-level oversight of compliance and risk management and organization ... to employee complaints. Develop regular training on rules, regulations,..
... and commodities, and experience with compliance, internal controls and risk management. ... and risk management. Responsibilities The Compliance Officer’s primary focus will be to: ... focus will be to:..
Senior Compliance Officer - Regulatory The candidate will ... to the execution of Popular’s Compliance Program, ensuring alignment with Corporate ... Program, ensuring alignment with Corporate compliance and strategic direction..
Job Description The Deputy of Compliance Technology position requires knowledge and ... commodities regulatory reporting obligations. Provide compliance guidance and input regarding business ... and tested as appropriate in compliance..
Corporate Compliance Officer Duties: Develop and implement the ... Develop and implement the organization’s Compliance Program including developing, implementing and ... risks, receiving, evaluating and investigating compliance-related complaints, concerns and..
Associate Compliance Officer The candidate will direct and ... direct and advise Management of compliance with applicable non-bank mortgage laws ... laws and regulations. Will conduct compliance risk assessments to..
Compliance Officer HFS for Asset Management The ... and control to the business' compliance risk-taking and risk assessments; assisting ... maintenance, and improvement of the compliance policies, procedures, and processes..
... seeks a motivated and talented compliance officer familiar with electronic trading processes ... will be the firm’s lead compliance officer in key areas, including the ... each of these..
... for a motivated and talented compliance officer who is familiar with securities ... back office functions. Responsibilities: The Compliance Officer – Special Products and Back ... stock lending and..
Corp Legal - Chief Compliance Officer RESPONSIBILITIES: Oversee and continue the ... and continue the development of compliance risk assessments, with an emphasis ... the scope and rigor of compliance..
Chief Ethics and Compliance Officer Responsibilities: Report to the General ... the General Counsel. Lead the compliance team. Develop strategies and lead ... will advise internal stakeholders on compliance with..
VP Compliance Officer The candidate will be maintaining ... The candidate will be maintaining compliance policies and procedures for assigned ... conducting risk assessments and periodic compliance testing, maintaining oversight..
Chief Compliance Officer The candidate administers a formal ... The candidate administers a formal compliance program, including updating procedures for ... including updating procedures for enterprise compliance strategy, structure and..