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
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
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...
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....
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......
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...
and Fixed Income Senior Compliance Advisor
The candidate will... reporting to the Chief Compliance Officer for Guggenheim Securities,... the Sales and Trading Compliance Advisor guides on and... Equity and Fixed Income compliance experience and be comfortable... documentation. Updates to relevant compliance manuals and training materials.... Compliance...
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of securities regulation and compliance, corporate governance, and Delaware... relating to securities law compliance and disclosure, including without... limitation: the preparation and filing of Annual Reports on Form 10-K, Quarterly Reports including relevant securities law compliance and disclosure, and to......
Manager, Employee Relations and Compliance
The candidate will be... policies and procedures, and compliance with global employment laws... on benefits and compensation compliance and other aspects of... strategy as needed. Other duties may be assigned by the Global People Officer....
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
General Counsel and Chief complianceofficer DUTIES: Provide advice on... matters of corporate governance, finance, contracts, real estate transactions and projects, and employment. Design, implement and manage agency-wide risk management systems... read 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