Swap Dealer complianceofficer The candidate will manage... swap dealer compliance program including assessing and... business activities. Overseeing the compliance framework for annual Chief complianceofficer Report. Leading and... Working closely with all compliance Department functions to support complianceread more
Health Plan complianceofficer The candidate will... the health plan regarding compliance issues, Regulatory Audits and... Develop and manage site compliance Oversight Committee meetings and... and maintain an effective compliance Program, including compliance related policies complianceread more
Regulation W complianceofficer The candidate duties will... the CUSO Banking Regulatory compliance Regulation W framework, including... monitoring, and training; Conduct compliance oversight reviews of applicable... requirements to ensure that compliance programs and testing programs complianceread more
Compliance Officer - Swap Execution... disciplinary actions. Provide advisory compliance services to the business.... Review, update and draft Compliance policies. Develop and streamline... new and existing Compliance processes. Review and approve... part of the broader Compliance team, provide Compliance support... compliance...
Fixed Income Compliance Officer - Vice President...
Responsibilities: Develop and enhance compliance policies and procedures and... coordinate with global colleagues in developing global frameworks. Develop and deliver compliance training on appropriate topics.... Develop and enhance compliance policies and procedures and......
Compliance Officer – Origination &... internal and external audits and inspections. Interact with federal and state regulators and perform testing and monitoring of compliance with firm policies and... conduct risk assessments of the business to ensure effective business control framework....
The candidate will... Review, draft and implement compliance policies and procedures. Plan,... coordinate and conduct training plans for businesses under coverage. Respond to regulatory inquiries. Assist with surveillance initiatives. Assist on ad-hoc projects and other special assignments as...
Consumer Compliance, Manager (Financial Services)
The... optimise their risk and compliance policies and processes, and... record of success managing compliance-related consulting engagements within a... and regulations including consumer compliance requirements (e.g. FCRA, TILA,... leading practices relating to compliance risk management programs and... compliance...
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Business Line Compliance, Senior Manager
The candidate... Head of Business Line Compliance, and collaborate with functional... the company to ensure compliance with applicable federal consumer... toward action, Business Line Compliance functional stakeholders partner with... Growth Marketing content for compliance with securities laws, rules,... compliance...
Compliance Manager - Vendor Risk... relationships are monitored in compliance with the Program requirements.... the Head of Core Compliance in the ongoing development... successful completion. Support broader Compliance and Enterprise Risk Management... initiatives as needed. Provide subject matter expertise on...
Legal & compliance Compliance officer Associate
DUTIES:... the complex and growing compliance needs of the company... Private Wealth Solutions (PWS) compliance program. Assisting existing team... members in compliance functions including (i) policy complianceread more
Senior Counsel and complianceofficer The candidate will report... General Counsel and Chief complianceofficer Will serve as... serve as the Company’s complianceofficer to partner with... implementation of an effective compliance program. Draft and negotiate complianceread more
Chief complianceofficer The candidate will supervise... the compliance staff and manage the compliance programs of Mercer Investments... maintain and implement effective compliance policies and procedures with... test the performance of compliance policies and procedures. Develop complianceread more