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Assist the Regulatory Reporting team in Legal and Compliance team with respect to regulatory submissions to the SEC, CFTC and other primary regulators pursuant to the Investment Advisers Act of 1940 and related securities regulations and exemptions.
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U00A0We are looking for a Director of Regulatory Reporting, a leadership position within the team that is responsible for ensuring the overall integrity of trade and position reporting submitted to the regulators for the Fidelity Broker-Dealers, National Financial and Fidelity Brokerage Services, as well as for correspondent client broker-dealer firms.
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Complies with all State and Federal Banking regulatory requirements, including but not limited to: BSA, Anti-Money Laundering OFAC, CIP, Financial Elder Abuse Reporting, Sexual Harassment, Information Security and privacy requirements.
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Define and implement a process for reporting to management the status of BSA/AML/OFAC/CTR regulatory compliance, including the details of any identified BSA/AML/OFAC/CTR issues and the corrective action taken.
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Must comply with all State and Federal Banking regulatory requirements, including but not limited to: BSA, Anti-Money Laundering OFAC, CIP, Financial Elder Abuse Reporting, Sexual Harassment, Information Security and privacy requirements.
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Director, Fund Administration, Regulatory Reporting/SOX Compliance page is loaded. Director, Fund Administration, Regulatory Reporting/SOX Compliance. Reporting into the General Director, Financial Reporting/SOX Compliance, this role is critical to meeting the regulatory reporting requirements of the John Hancock mutual funds.
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The person will work directly with stakeholders across – ESG Investments, ESG Product Strategy, ESG Data and Operations, Client, Product and Regulatory Reporting, and Enterprise Risk Management to understand their data and reporting requirements and to translate requirements into functional specifications for technology partners building/ enhancing IT solutions for ESG reporting.
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Reporting to the Head of Regulatory Affairs, this individual will be responsible for assuring the CMC regulatory strategy is aligned with Health Authority requirements and regulatory submissions are on time and high quality.
$220,000 - $280,000 a yearFull-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
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Experience selling one or more of the following: Analytics, Back Office Solutions, Data Governance, Data Management, Data Warehouse, EOD Reporting, Front Office Solutions, Managed Services, Middle Office Solutions, Order Management (OMS), Portfolio Management (PMS), Reconciliation, Regulatory Solution, Reporting, Trade Management, Treasury.
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Attend and participate in meetings with local and regional environmental organizations meetings / conferences including federal, state, and local regulatory organizations such as EPA, SC-DHEC, CAER, CAPCA, Chamber of Commerce, LEPC, DCFD, and SCMA.
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Familiarity with Artificial Intelligence/ Machine Learning, Robotics Process Automation and Blockchain and their impact on the regulatory environment. Our teams implement transaction tax engines and tax reporting/compliance technologies for large organizations through standard or custom integrations.
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Develop, perform, and document environmental (air, water, and waste) routine activities (sampling, checks and inspections), government regulatory reports, environmental plans and permits to fulfil recordkeeping and reporting obligations required by the CAA, CWA, RCRA, EPCRA, SWPPP, SPCC regulations.
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Ensure Third Party Risk Management activities conform to Regulatory, Group Policy and Local Procedures. - Develop and manage a third party risk management monitoring and reporting process that tracks third party and commercial risks.
$150,000 - $238,000 a yearFull-timeExpandApply NowActive JobUpdated 2 months ago - UpvoteDownvoteShare Job
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Any specific experience with data management best practices, data governance, data quality controls, regional or regulatory reporting requirements is preferable. As pioneers in index, ETF, and ESG investing, we are always inventing new ways to invest.
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This is an opportunity to join a dynamic team as an Engineer I, Medical Device at a venture backed Medical Device organization, reporting directly to the CTO. The successful candidate will drive key activities throughout the development phases of the combination product as well as transitioning the design to large-volume manufacturing, and facilitate the deliverables to support regulatory filing, product launch, and post market surveillance.
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regulatory reporting jobs Title: specialist Company: Metroplus Health Plan
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