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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..
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..
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,..
Fixed Income Compliance Officer The candidate will provide Compliance support for the Rates of ... desk policies and procedures and training. Assist other control functions in ... examinations. Develop policies,..
Senior Compliance Officer - U.S. Markets Advisory Duties: ... relevant policies and procedures. Provide regulatory/compliance training. Assist the business on implementing ... Perform testing and monitoring of compliance with firm..
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..
Senior Compliance Officer, Conflicts of Interest Duties: Assist ... with development of guidance and training to Local Compliance Officers, risk assessment reviews, and ... assessment reviews, and development of training..
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..
New York City office of a BCG Attorney Search Top Ranked Law Firm seeks senior corporate transactional attorney with 8-10 years of experience, preferably with M&A experience on the buyer and ..
Chief Compliance Officer - Capital Markets The candidate ... and refinement of a comprehensive compliance program. Work with Compliance teams globally and as well ... effort throughout the organization. Coordinate..
Health Plan Compliance Officer The candidate will serve as ... with the health plan regarding Compliance issues, Regulatory Audits and Corrective ... Actions. Develop and manage site Compliance Oversight Committee..
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..
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..
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 serve as ... will serve as the primary Compliance Team resource for BHS, the ... be responsible for the BHS Compliance control structure. Will..
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..
Regulation W Compliance Officer The candidate duties will include: ... of the CUSO Banking Regulatory Compliance Regulation W framework, including risk ... governance, testing and monitoring, and training; Conduct compliance..
Vice President-CFTC Swap Dealer Compliance Officer The candidate will provide coverage ... needed). Serve as additional regulatory compliance contact for the CFTC and ... processes, reasonably designed to support 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..
Director - Senior Swap Dealer Compliance Officer Duties: Provide coverage as and ... regulatory reporting (as needed). Regulatory compliance contact for the CFTC, NFA ... processes, reasonably designed to support..
Compliance Officer - Deposits The candidate will ... lines of business related to compliance. Perform oversight activities and assume ... and regulations. Assist with regulatory compliance exams. Assist with corporate..
Business Ethics Compliance Officer The candidate will create awareness ... about the importance of BE compliance; work collaboratively with business unit ... unit to determine risk level, compliance maturity, and..