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This role requires the incumbent to also provide administrative, regulatory and policy support across all functional units within the Office of Ethics & Compliance (OEC), as needed. The Senior Ethics & Compliance Specialist/Regulatory Support Manager is a subject matter expert on FDA regulations, the university's policies, processes, and standards.
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Responsible for overseeing tax planning and compliance functions for ultra-high net worth individuals and their families, with a particular emphasis on clients in the financial services sector, such as hedge funds, private equity, and other investment-related individuals.
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The Investment Program at Golden 1 Credit Union supports the local community with a complete menu of financial services. Employment is with Golden 1 Credit Union, however, in accordance with regulatory requirements, LPL Financial would hold your securities/insurance licenses.
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Leading analytics related to the BSA/AML compliance controls for regulatory examinations, tuning and optimization of controls. Partner with Compliance Program team and Compliance Product team to facilitate the dashboarding and reporting design conversations for AML, Sanctions and KYC controls.
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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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The Investment Program at Golden 1 Credit Union supports the localmunity with aplete menu of financial services. Financial Advisor - Golden 1 Credit UnionYour career path should lead to real opportunity LPL Financial partners with credit unions to offer aplete menu of financial services to credit union clients.
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As the Director of Regulatory Compliance (MLRO), you will be working as part of Nium’s global, dynamic Compliance team and will be reporting to the VP Compliance (US). Identify control gaps and lead the implementation of control enhancements to include AML, OFAC, and Regulatory Compliance.
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Lead cross-functional teams (including Product, Engineering, Data Science, Compliance, Counsel, Law Firms, Regulatory Consultants and bank partners) involved in program, providing direction, support, and guidance to ensure alignment with program objectives and timelines.
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5+ years of litigation and regulatory experience at a top-tier law firm and/or in-house legal team, preferably in a financial services or crypto industry; Experience working on financial services regulatory matters in the United States (FINRA, state securities regulators, SEC, CFTC.
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Plan and execute client engagements focusing Operational Risk, Operational Resilience, Regulatory Compliance, Surveillance, Conduct Risk, Third Party Risk Assessments and other risk programs.
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Ensure legal and regulatory compliance regarding all financial functions. The CFO oversees all financial aspects of St. Anthony’s including budgeting, forecasting, reporting, financial audit, accounting, payroll, insurance, risk management, contracts, planning, and legal financial compliance functions.
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Provide legal counsel and strategic advice to digital health clients on regulatory compliance issues, including HIPAA, Anti-Kickback Statute, Stark Law, and False Claims Act. A law firm in San Francisco, CA is seeking a Junior Digital Health Associate Attorney with 2-4 years of experience in healthcare law and regulatory compliance.
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The Compliance Engineering and Technology team at Block finds and reports financial crimes activity across Block products like Cash App and Square. Block, Inc. (NYSE: SQ) is a global technology company with a focus on financial services.
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Documentation: Maintain accurate and detailed electronic health records (EHR) to track patient progress, document treatment plans, and ensure compliance with regulatory standards. A Nurse Practitioner (NP) in Family Practice is an advanced practice nurse who specializes in providing primary healthcare services to individuals and families across the lifespan.
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Help navigate technical, legal, and regulatory compliance requirements as we launch and grow new business lines such as Apps/Activities IAP, Quests, and (potentially) virtual currencies. Deep domain expertise in the world of online payments, mobile app stores, payouts, taxes, and revenue accounting operations, as well as SOX compliance, audits, and other regulatory requirements.
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financial services regulatory compliance jobs Company: Invictus Talent Solutions in San Francisco, East-hartford, Connecticut
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