security. Job Title: Senior Specialist, Legal Compliance (Ethics & Compliance Officer) Job Location: Multiple: Rochester... & Compliance Officer (ECO) who will be responsible for conducting investigations of allegations of disrespectful behavior...
monitoring, compliance testing, Internal Audits and regulatory examinations. Develop and manage strong working relationships... on options and alternative methods of remediating regulatory compliance issues identified through self-assessments, compliance...
Futures Association (NFA). The Compliance Officer will work closely with senior compliance officers to monitor trading... motivated Compliance Officer to join the Swap Dealer Compliance team. This role supports the firm's registered swap dealer...
Who we are looking for We are looking for a highly motivated and experienced Compliance Officer, AVP... for As Bank Policy & Advisory Compliance Officer, AVP you will: As the Policy Owner of a suite of global compliance policies...
. Additionally, The Senior Compliance Officer will conduct compliance monitoring and testing to ensure compliance risks are mitigated...Location: 4910 Tiedeman Road - Brooklyn, Ohio 44144 The Senior Compliance Officer will be a member of the Consumer...
Description The Huntington Capital Markets Enterprise Compliance Risk Director Senior will play a critical role... Exchange Act. The Director oversees a team of experienced Compliance Professionals and partners with senior leaders to ensure...
to detail. The Senior Compliance Specialist will assist the Chief Compliance Officer in document management, compliance... Compliance Specialist, with a good base of industry, regulatory, and legal compliance knowledge. The successful candidate...
of Western & Southern Financial Group (W&SFG). Under the direction of the Chief Compliance Officer (CCO), or other Compliance... surveillance, testing, and monitoring of compliance, risk management, investment and operational-related matters. The primary focus...
Senior Compliance Analyst performs a variety of activities in the Corporate Compliance group related to the design... and responsibilities include: Prepare quarterly and annual chief compliance officer (CCO) reports under Rule 38a-1 and annual CCO...
as Certified Bank Compliance Officer (CCBCO), Certified Regulatory and Compliance Professional (CRCP), Certified Regulatory... for us. And, we might be the right bank for you. As a Senior Compliance Specialist, you will train and mentor Compliance Specialists in the...
as Certified Bank Compliance Officer (CCBCO), Certified Regulatory and Compliance Professional (CRCP), Certified Regulatory... for us. And, we might be the right bank for you. As a Senior Compliance Specialist, you will train and mentor Compliance Specialists in the...
Job Description: Overview Job Purpose The Senior Compliance Analyst (“SCA”) is responsible for assisting... requirements. The SCA will support the Chief Compliance Officer in the design, development and execution of a risk-based compliance...
, including review of product, marketing and advertising to support compliance with applicable requirements. As a Senior Manager... on the Compliance Product team, you'll report to the Chief Compliance Officer of Robinhood Crypto, and be responsible...
. You facilitate testing activities and requests for information from Corporate Compliance, Internal Audit, and regulatory examiners...Job Title: Senior CRA Compliance & Operations Manager Location: CityScape What you'll do: As Senior CRA Compliance...
. Responsibilities: JOB PURPOSE This position is to support the VP of Internal Audit/Chief Compliance Officer and the Senior Director... intermediate and advanced level audits: finance, operational, regulatory, and compliance audits, reviews, or analysis...
CFC Officer will support the US Corporate Function Compliance Director to ensure regulatory compliance oversight... Testing and Deficiency Management: Ensure awareness of regulatory compliance deficiencies and control testing results...
reviews for the U.S. Compliance Testing Program, a critical program element of the U.S. Regulatory Compliance Management... that thoroughly document testing conducted and corresponding conclusions. The Sr. Compliance tester may also support issue validation...
. The Compliance Coordinator will work with Medical Directors and Managers to assure regulatory compliance of department... Coordinator will maintain the highest degree of expertise in quality, compliance, regulatory, and accreditation requirements...
and coordinating remedial actions in response to regulatory examinations, compliance testing, and independent testing (audits) of the... Program. Reporting regularly to the EVP & Chief Legal Officer, the Company's Compliance Committee and Senior Management...
for presentation to senior management. Investigate export or imports trade compliance violations; track, report, and resolve matters... of non-compliance; seeking guidance of the Chief Compliance Officer as necessary. Production of recurrent or ad hoc reports...