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Develop and manage Financial Crime and AML methodology to manage all sources of regulatory risk to meet the needs of our US & Canada regulators and ensure they remain up to date with all regulatory and international standard.
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The manager will serve as a subject matter expert on complex system and projects and engages all levels of staff and management in the technology and business units to provide ongoing management of mission critical systems ensuring compliance with BSA/AML regulatory requirements.
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Leading analytics related to the BSA/AML compliance controls for regulatory examinations, tuning and optimization of controls. Circle is looking for a Compliance Data & Reporting Manager with experience in Compliance systems and data to help us build out reporting and insights functions to enable data driven compliance.
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The Chief Compliance Officer ("CCO") will act as the primary expert and advisor on all NerdWallet compliance matters, managing external regulatory engagements, legal contracts, and third-party vendor compliance.
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Expertise relating to laws and regulations applicable to the federal and state Fraud, Waste and Abuse Laws, healthcare transactions, corporate practice of medicine; preferred working knowledge of value-based care and working with health plans; experience relating to broker/agent laws, marketing, and billing and coding compliance.
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Series 65 or combination of Series 7 and Series 66 license required unless candidate holds one of the following credentials: Certified Financial Planner (CFP), Chartered Financial Consultant (ChFC), Personal Financial Specialist (PFS), Chartered Financial Analyst (CFA) or Chartered Investment Consultant (CIC.
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Work closely with the treasury department to facilitate transactions and ensure compliance with legal and regulatory standards. The company specializes in the sphere of B2B services and products, catering to a wide range of clients including large licensed brokers, crypto exchanges, crypto brokers, forex brokers, hedge and crypto funds, and professional managers.
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The CCO will serve as a member of the Executive Team, along with the Chief Financial Officer, Chief Operating Officer and Chief of Client Services. As a community development finance institution (CDFI), we work with nonprofits, partners, and systems to build racial equity and community wealth and well-being.
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Partner with the CISO, Chief Privacy Officer and Head of Fe GRC (Governance, Risk & Compliance) to ensure privacy, regulatory, and security requirements are incorporated into all Financial products and roadmaps.
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Using fundamental technical skills, analytical abilities, and up-to-date regulatory knowledge, provide complete customer oriented, environmental analysis, planning and compliance solutions, to assist clients in areas of CEQA/NEPA permitting and regulatory compliance.
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Manage grant budgets, financial reporting to funders, and ensure compliance with grant requirements. Develop and maintain advanced financial models that allow for scenario planning, risk assessment, and revenue modeling to support long-term financial planning.
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Ensure the development and oversight of daily management and execution of organizational wide financial and internal controls, and risk management staffing, policies, and procedures in compliance with Federal and State regulations that support all functions within Movement Strategy Center.
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Generally 7+ years experience in financial services, including experience conducting a valuation of various financial derivatives and other complex securities for financial reporting, tax and regulatory.
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Counsel Earthjustice attorneys and staff regarding professional responsibility and risk mitigation, primarily conflict of interest issues associated with new matters, negotiation of client engagement terms, review of lateral attorney/paralegal/legal assistant/law clerk candidates, and integrity of ethical walls.
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Stay up-to-date with industry best practices and regulatory requirements related to third-party risk and customer data protection. Develop and maintain documentation related to third-party risk management and customer security responses.
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equity and regulatory compliance risk net financial services jobs Title: manager Company: Wells Fargo in San Francisco, CA
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