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Providing subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, including but not limited to anti-money laundering, outside brokerage accounts, outside business activities, OSJ/branch inspections, firm element continuing education, electronic communications surveillance, information barriers, restricted/watch lists, institutional research, investment banking, and institutional sales.
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Applies an expert knowledge of the BSA and Internal Revenue Code 6050I, rulings, court decisions, regulations, IRS and Treasury policies to determine compliance with requirements including registration of money services businesses (MSB) s, development by FIs of anti-money laundering programs, recordkeeping and reporting requirements.
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The BD CCO will interact with and advise senior management of the CBD LOBs and ensure effective methods of managing compliance risk arising from federal and state laws and regulations (e.g., FINRA, NASDAQ and SEC), within an enterprise-level risk management framework.
$150Full-timeExpandApply NowActive JobUpdated 29 days ago - UpvoteDownvoteShare Job
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Experience analyzing complex business operations, verifying compliance with fuel tax laws or activities in the petroleum industry. Experience in conducting investigations, analyzing basic business operations, verifying compliance with specific laws or activities in the petroleum industry.
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Key responsibilities include driving risk-based auditing by defining scope and test procedures to evaluate the control environment in conformance with audit policies, assessing issues for business impact and recommending severity ratings, drafting audit reports, and managing business partner relationships.
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Develops, implements, and directs the export compliance program for Nemours to ensure compliance with export control laws and regulations, including the International Traffic in Arms Regulations ("ITAR"), the Export Administration Regulations ("EAR"), and the regulations administered by the Treasury Department's Office of Foreign Assets Control ("OFAC.
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Works with Chiefs, in particular the COO, Chief Innovation Officer (CINO), Chief Financial Officer (CFO) and the Chief Marketing Officer (CMO) to identify and deliver meaningful and impactful progress against objectives.
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In addition to managing the facility’s safety program, the FSPM will oversee the employee training program, and assist with the daily execution of the facility safety and health activities (Transfer Station, Public Unloading Facility and Upper Lot Recycle operation, when it applies.
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Support Procurement Manager and Buyers with managing the acquisition process (sourcing, developing, and negotiating) through eProcurement tool ensuring competitive pricing, compliance with policies, limiting risk, and driving Total Procurement Value.
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This role evaluates and assesses business and technology operations to help companies with compliance and security to applicable frameworks, along with providing possible solutions for the mitigation of risks and/or continuous improvement with security.
$80,000 - $90,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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Access Control, Application Security, Business Continuity and Disaster Recovery Planning, Cryptography, Information Security and Risk Management, Legal Regulations, Compliance and Investigations, Operations Security, Physical (Environmental) Security, Security Architecture and Design, Telecommunications and Network Security.
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Responsible for the Trust Department’s development of and compliance with CBNA business requirements, including vendor management, records management, registration and licensing requirements, if applicable, systems access, etc.
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Collaborate with Risk Management in the identification and management of risk in CPW’s fiduciary activities. Partner with CPW and the broader Wealth organization in building and supporting private client wealth relationships that include personal fiduciary business.
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Responsible for business partnership with CPW and CBNA related and supporting areas for business strategy and growth. Excellent relationship building background supporting the growth of a Trust organization, working with COI’s, externally and internal partners in business development.
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There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.
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what jobs lot money with business degree chief cfo examining compliance risk advisors managing jobs in Ardencroft, DE
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