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Compliance Surveillance Sr. Analyst The candidate ... the matter to a designated manager and to the legal representative ... the Firm in complying with regulatory and legal requirements. Participating in..
Compliance Surveillance Sr. Analyst, AVP – ... candidate will Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)’s Personal Trading ... of interest) that may violate..
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 ..
Compliance Surveillance Senior Analyst, AVP – Personal Trading ... Activities Duties: Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)’s Personal Trading ... of interest) that..
Senior Deputy Counsel The candidate will ... to Independent Health’s pharmacy benefit manager and specialty pharmacy. Maintain an ... statements, arguments and responses to regulatory and other outside inquiries or..
... mitigate such risk. Collaborate with compliance and risk groups to identify, ... issues to line of business senior management as appropriate. Keep informed ... informed of latest legal and..
Senior Counsel - Consumer & Small ... Business Deposits Responsibilities: Collaborating with compliance and risk partners to advise ... businesses. Reviewing and responding to regulatory and customer complaints. Partnering with..
... Buffalo, New York. In this senior leadership team role, the Chief ... operations such as associate development, regulatory compliance, procedural compliance, and financials.At Delaware North, we ... policies, and..