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Certified Anti-Money Laundering Specialist (CAMS), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM), or Certified Fraud Examiner (CFE.
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Assists in business unit's compliance with applicable laws, regulations, regulatory requirements and Bank policies and procedures, including but not limited to those related to Fair Banking, Anti-Money Laundering laws and regulations, Bank Secrecy Act and USA PATRIOT Act.
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Be part of an innovative, Global Capital Markets and Investment Banking business with a unique geographic footprint that puts capital to work for our clients across industries! Actively pursue effective and efficient operations of his/her respective areas in accordance with Scotiabank's Values, its Code of Conduct and the Global Sales Principles, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational, compliance, AML/ATF/sanctions and conduct risk.
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Experience with the contents and implementation of specific regulatory initiatives such as: Dodd-Frank, general consumer compliance, regulatory structure and organizations including FRB, OCC and CFTC.
$88,564 - $170,913 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Partner closely with Compliance, Legal, Risk and Control partners, as well as regulatory affairs, proactively identifying and mitigating risks and addressing issues with urgency; interact with regulators; potentially serve as President of SoFi broker/dealer and Wealth RIA.
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7+ years managing a similar compliance function with a strong, “SME status” understanding and focus on BSA/AML, financial crimes, and banking/fair lending regulations within the banking, fintech, or financial services industry.
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You will use your thorough knowledge of specialty consumer finance laws, Compliance Management System management, State Regulatory Compliance requirements, and BSA/AML program management.
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Responsible for following a risk-based approach to BSA Compliance within the Division, including, among others, Know Your Customer, EDD, high risk classification, and account/client monitoring.
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Demonstrates a strong sense of urgency and is proactiveAbility to work independently, maintaining high level of confidentiality and exercise sound judgmentAdvanced proficiency with Microsoft Office applications PREFERRED QUALIFICATIONS Regulated industry experience (e.g., insurance, banking, compliance, healthcare)Paralegal certificationEmployee pay is determined by multiple factors, including geography, experience, qualifications, skills and local minimum wage requirements.
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Minimum of 8 years of experience in the financial services industry, with a focus on banking operations and regulatory compliance. Communicate new regulatory requirements simply and efficiently to affected business and other functions and stakeholders to ensure compliance.
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Perform risk reviews and business impact assessments on component materials, products, and packaging (g., chemical screening for EH&S impacts, regulatory compliance evaluation, stakeholder perception, and product sustainability risk management.
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The Regulatory Affairs Business Risk Officer is a first line professional within the Wholesale Banking division managing and assisting the business with regulatory adherence with a strong focus on BSA/AML, change management and people manager of a first line KYC team.
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Preferred Qualifications In-house experience at a broker-dealer or registered investment advisor in legal or compliance Experience at a federal regulator or self-regulatory organization In-house experience in a RIA Custody business and/or Broker-Dealer Clearing Services business is a plus Outstanding law firm credentials ABOUT GOLDMAN SACHS At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow.
$170,000 - $270,000Full-timeExpandApply NowActive JobUpdated 29 days ago - UpvoteDownvoteShare Job
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The ideal candidate will have extensive expertise in banking operations, Broker Dealer and Swap Dealer regulations (including the global impact of relevant U.S. regulations), compliance with regulations, and a deep understanding of front office sales and trading operations.
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Regulatory & Compliance Officer Responsible for assuring compliance with all food safety & regulatory matters, also for supporting the Director of Quality and Food Safety in developing, implementing, and enforcing Food Safety Programs for company including SQF program), oversees the plant SQF program to ensure certification is maintained.
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business banking regulatory compliance jobs Title: part time los angeles in Wailuku, Hawaii
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