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Previous experience as a senior compliance officer or CCO of an FCM or Broker Dealer. Keep senior leadership and the Board apprised of any compliance or regulatory issues/changes affecting the firm.
$150,000 a yearFull-timeExpandApply NowActive JobUpdated 9 days ago - UpvoteDownvoteShare Job
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Work closely with the General Counsel, Chief Compliance Officer (GC / CCO), business unit presidents, and functional leaders to identify compliance risks in areas such as export controls, sanctions, government contracts, data privacy, anti-bribery, anti-corruption, and antitrust.
$155,000 a yearFull-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
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The position of Compliance Specialist will be responsible for ensuring all import and export (ITAR) and FFL transactions within the company and are in accordance with applicable government ITAR, ATF export rules and regulations.
$80,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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As assigned by the VP/Compliance and Risk, participates in Consumer Financial Protection Bureau (CFPB) readiness activities. Collaborates with the Project Manager and VP/Compliance and Risk to develop the organization-wide Document Management programs.
$105,966.64 a yearExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
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The Compliance Officer will report to a supervisor with the Wealth Management Broker/Dealer Compliance division. The Compliance Officer will work closely with the members of a team focusing on regulatory broker-dealer compliance issues with respect to monitoring public communications, marketing, licensing/registration, handling customer complaints, recordkeeping requirements, supervision, regulatory filings, etc.
$28.78 an hourExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
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BlueHub Capital is seeking a Compliance Analyst to help BlueHub remain in good stead with community development finance institution (CDFI) compliance requirements for federal funding, NMTC (New Market Tax Credits) allocations, as well as investor and donor requirements.
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RWE Clean Energy, LLCFunctional area: Regulation / Risk Management Remuneration: ExemptThis Manager, Asset Compliance (CIP) supports the RWE Clean Energy Internal Compliance Program established to maintain compliance with mandatory North American Electric Reliability Corporation (NERC) Critical Infrastructure Protection (CIP) standards.
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MWH Constructors, an industry leader in the heavy civil construction of water and wastewater facilities, is currently seeking a Compliance Specialist to support the construction of a Water Treatment Plant located in Portland, OR. This project will be the first of its kind in, scheduled to break ground in Summer of 2024 and ultimately supplying 135 million gallons of water a day to the Portland community by Fall of 2027.
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Position Overview:The Associate Manager of Finance Compliance plays a critical role in supporting Campbell's SOX Compliance program within the Corporate Audit department and will report to the Finance Compliance Manager.
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Experience with Continuous Emissions Monitoring Systems (CEMS) and Data Acquisition and Handling Systems (DAHS) Training in Environmental Compliance or management; CHMM or engineering professional certification (EIT or PE) Previous work experience in a power plant setting Experience with web-based document management information software such as SharePoint Excellent verbal and written communication and computer skills.
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Work with CCO in assessing, overseeing, and improving the risk management and compliance practices for retail crypto trading and custody. Understanding of the current and evolving landscape of regulatory compliance and risk management for global financial technology and crypto companies.
$175,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Under the direction of the Vice President of Internal Audit, the Financial Compliance Auditor is accountable for visiting these locations during events to verify that certain key processes and controls are operating effectively.
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You can expect to interact with internal and external partners, as well as directly with internal clients, stockholders, and vendors on a variety of import/export compliance related activities to minimize associated risk to the Company while supporting business growth goals.
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Broker Dealer Compliance Officer Opportunity. - Deep knowledge and understanding of FINRA and SEC broker-dealer compliance rules and regulations. - 2-5 years of validated experience in broker-dealer compliance.
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Typically requires a minimum of one year experience in the regulatory compliance field and must be knowledgeable in at least one area of regulatory compliance such as banking regulations, consumer reporting, tax, anti-money laundering or anti-corruption.
$86,000 a yearFull-timeExpandApply NowActive JobUpdated Yesterday
compliance job Title: supervisor Company: Johns Hopkins University
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