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The Chief Compliance Officer is responsible for the day-to-day administration and oversight of the Company’s Gaming Compliance Plan. The Chief Compliance Officer, in conjunction with the Executive Vice President & Chief Legal Officer, will serve as a liaison between the Compliance Committee and various regulatory authorities.
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Previous broker dealer compliance or other financial services responsibilities a plus. Coordinate with CCO to develop the Firm's internal compliance dashboard for servicing client accounts, managing the books and records database, corporate actions, and other operational tasks.
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Reporting to the Associate Director of Community Justice Initiatives, the Intake and Compliance Specialist will be responsible for an array of tasks including intake, monitoring participant scheduling, and community engagement activities.
$27.48 - $30.22 an hourFull-timeExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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I'm recruiting for a growing financial services firm who is looking to hire a full-time Broker-Dealer Compliance Manager to work out of their Bountiful, UT office (just outside of Salt Lake City, UT.
$90,000 - $105,000Full-timeExpandApply NowActive JobUpdated 7 days ago - UpvoteDownvoteShare Job
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Minimum 5 years' experience in a compliance officer role, with FINRA broker-dealer compliance experience a plus. You will have a primary focus as the deputy compliance officer for a US broker-dealer compliance program.
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The Franchise Compliance Manager is responsible for ensuring that the franchisor and its franchisees adhere strictly to the Franchise Disclosure Document (FDD) requirements, as well as federal and state franchise laws.
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Completes BSA / AML / OFAC and other compliance program reviews, procedure development, red flag development; gap analysis, risk assessments, and training development; The employee will be exposed to an array of compliance activities, but will primarily be tasked to work effectively with multiple complex data sources and/or technical analytical tools/resources to identify potentially unusual, fraudulent, criminal or suspicious activity as defined by AML/BSA regulations and industry best practices for AML/BSA analysis.
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As a Compliance Training Design Program Manager within the CGR team, you will support training design and administration of Block Inc, level Compliance training, and partner with International, Regional, and Department Compliance Leads to transform required training into a learning experience.
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The Trade Compliance Specialist will be responsible for ensuring compliance with import and export regulations for both the United States and Canada. We are seeking a highly skilled and experienced Trade Compliance specialist to join our dynamic group logistics team.
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Support the Office of Child Support Enforcement (OCSE) management, the ACF CISO, ACF Cyber Security Office, and HHS Chief Information Security Officer (CISO) to ensure FPLS compliance with ACF and HHS security requirements.
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Strong understanding of SOX regulation, ITGC, and IT compliance frameworks (e.g., GDPR, NIST, CIS) as well as IT infrastructure, business processes, ERP systems, and/or other financial application.
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Demonstrated successful track record working in IT compliance, governance, or risk management, internal audit or external audit with a strong focus on SOX compliance, with minimum 5 years' experience.
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Chemours is seeking a SOX ITGC & Compliance Consultant to join our growing IT SOX & Governance team! In addition to specific ITGC responsibilities, you'll also oversee broader compliance efforts.
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SOX ITGC & Compliance Consultant. Utilize and maintain GRC application (e.g., AuditBoard, Riskonnect, RSA Archer, etc.) From cellular phones to lower emission vehicles, to 5G communications and clean energy from hydrogen, were collaborating with customers to make these innovations more capable.
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Immigration sponsorship (i.e., H1-B visa, F-1 visa (OPT), TN visa or any other non-immigrant status) is not currently available for this position. Assist Controllership with review of SOD ruleset, assignment of mitigating controls, and resolving SOD conflicts.
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Title: compliance manager Company: Datalot
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