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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 ..
Principal Compliance Specialist The candidate maintains and enhances department or functional units in support of the overall compliance program components. Assists with researching regulatory compliance requirements and evaluating the adequacy of ..
Principal Compliance Specialist, Corporate Functions and Payment Duties: The candidate assists with the research of regulatory compliance requirements and evaluating the adequacy of business policies, procedures, training, reference materials, systems, and ..
Senior Manager Compliance Programs Duties: Manage a team that maintains and enhances compliance program components. Provide support, coaching, and counsel to the team. Manage the development of team members by authoring ..
Principal Compliance Specialist Duties: Maintains and enhances department or functional units in support of the overall compliance program components. Assists with researching regulatory compliance requirements and evaluating the adequacy of business ..
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 ..