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Knowledge of FINRA's regulatory operations, including the disciplinary process, examination programs, and overall functions and mission. With respect to the CWP Rules, collaborates with the Office of General Counsel to coordinate regulatory policy and develop rules and guidance including the preparation of regulatory notices, SEC filings, briefing materials for committees, and items for the FINRA Board.
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Build strong/collaborative relationships with upstream and downstream departments, including Provider Network Operations, to ensure timely resolution of provider inquiries and prevent escalation to DOH/DFS or other regulatory bodies.
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The role focuses on ensuring compliance with evolving regulatory requirements while supervising the team's activities related to monitoring suspicious activities, managing high-risk customers, and maintaining key compliance programs such as the Member Identification Program (MIP) and OFAC. Additionally, the position includes managing CTR operations and fraud prevention efforts to safeguard the institution from potential risks.
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Deep understanding of regulatory requirements related to digital currencies, blockchain technology, and payments, including AML, KYC, and data privacy regulations. The CCO will work closely with senior leadership to mitigate risks, maintain regulatory compliance, and foster a culture of integrity and accountability.
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Work with CMC cross-functional teams and Regulatory Affairs teams. Requirements: BS/BA degree in Scientific Discipline (Masters or higher preferred) with 5+ years in the pharmaceutical industry, preferably with 3+ years CMC regulatory experience, Sterile Injectable experience preferred.
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Interest or experience in environmental planning and regulatory compliance (California Environmental Quality Act, National Environmental Policy Act, and National Historic Preservation Act (Section 106) and historic preservation.
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In addition, the Office of Housing Services promotes the development of regulatory, legislative, and systemic enhancements to supportive housing within the context of the larger NYC mental health delivery system and homeless services system.
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Through its regulatory review programs, rulemaking and interpretation, and member education and outreach, the Advertising Regulation Department helps protect investors by ensuring FINRA member firms' communications with the public are fair, balanced, and not misleading.
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Desired Skills and ExperienceCertified Anti-Money Laundering Specialist (CAMS) or Certified Fraud Examiner (CFE)Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM),Audit / Assurance or operational experience in large scale enterprise environment / financial institution.
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The regulatory review programs include the analysis of communications submitted to the Department by FINRA member firms and communications uncovered through examinations, investigations, regulatory tips, sweeps, or spot checks by the Department and other FINRA departments.
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Maintain a deep understanding of the insurance industry's cybersecurity challenges, including data privacy, fraud prevention, and regulatory compliance (e.g., GDPR, CCPA, HIPAA, NYDFS Cybersecurity Regulation.
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FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Oversees the development of Department-initiated targeted examinations, sweeps, or spot checks related to the CWP Rules in accordance with FINRA policy and advises other regulatory departments on targeted examinations or sweeps they initiate that relate to the CWP Rules.
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The QA Manager will support Civica's quality and regulatory technology implementation and ensure the software and applications comply and adhere to regulatory expectations, such as 21 CFR Part 11, data integrity, current Good Manufacturing Practice (cGMP) guidance documents, and GAMP5.
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In-depth knowledge of value-based care models, healthcare reimbursement methodologies, and regulatory requirements (e.g., MACRA, MIPS, ACOs). Monitor and analyze actuarial data to ensure alignment with population health objectives and regulatory requirements.
$219,000 a yearFull-timeRemoteExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Associate General Counsel- Regulatory and Compliance is a key team member in the Office of the General Counsel reporting to and performing services under the direction of the Senior Vice President and General Counsel for VCU Health System.
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regulatory job Title: regulatory affairs specialist Company: Parexel
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