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They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions.
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Reporting directly to the General Counsel and Chief Compliance Officer, the Assistant General Counsel will play a crucial role in providing legal guidance and support across various aspects of the company's operations, with a focus on contract review, regulatory compliance, E&O/litigation management, and risk management.
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As a Tax Senior Manager within the Investment Management - Real Estate Tax group, you will provide federal tax consulting and compliance services to clients in the Real Estate industry sector.
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This role reports to the State Director and collaborates closely with the Regional Manager, Clinical Director and Director of Quality and Compliance. Groups has grown to become the national leader in value-based care for opioid use disorder that is proven to help our members beat addiction and get their lives back.
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In addition, the Regional Director of Operations will work in conjunction with the Director of Clinical Services to ensure compliance, quality measures, and success metrics are achieved.
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Provides fiduciary oversight (in conjunction with the WM Leadership and WM Compliance Officer) and answers difficult or complex questions regarding trust taxability, document interpretation and fiduciary risk management.
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Areas of oversight may include, but are not limited to: trust, review, special asset and risk management committee participation, trust account pre-acceptance, complaint management, audit compliance and follow-up, annual account reviews, pending, watch and litigation list management, discretionary distribution approval, account distributions and termination, unique asset oversight, fee schedule implementation; document review and risk management.
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As a Compliance Advisor within Principal Asset Management you’ll focus on the broker dealer and investment advisers’ compliance program for electronic communications, books and records, licensing and registration, and cash/non-cash compensation.
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Building close bonds with corporate functions around Data Compliance, the Chief Information Security Officer (CISO), and Information Technology Services (ITS), to establish a culture of safeguarding AI.
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The Senior Derivative Operations Analyst will have responsibilities associated with derivative middle-office trade support, data management, investment accounting oversight, and derivative legal compliance.
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Under the general supervision of the Operations and Duty Shift Manager, the Airport Operations Duty Officer is responsible for the operation and monitoring of airport security systems, safety, and building control systems, assures continuous safety and security compliance FAR Part 139, Part 77, TSR Part 1542, Airport Certification Manual, Airport Security Program, DMAA Rules and Regulations, and other applicable federal, state, and local statutes regulations and requirements.
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We're looking to grow our Responsible AI team and if you're experienced in Monitoring & Compliance with a Responsible AI background, we'd love to hear from you. As a Responsible AI Monitoring & Compliance professional, you'll be experienced in ensuring that AI systems are developed, implemented, and maintained in a way that mitigates risks associated with AI. But you'll also have at least a year's experience looking at responsible aspects such as AI model Fairness, Transparency, Explainability, Robustness, Soundness and Privacy - preferably gained in a client-facing environment.
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Monitor and manage global emerging issues in the areas of Product Safety & Regulatory Compliance for chemical, pesticide and fertilizer regulations. This role will support the Koch Agronomic Services (KAS) Business (subsidiary of Koch Industries, Inc.) and will partner with various Koch resources to integrate product compliance and risk management controls during all phases of product development and commercialization.
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Develop and implement security standards, policies, and procedures to safeguard resources ensuring compliance with HIPAA, NIST, FedRAMP, and/or HITRUST requirements. 3 or more years of experience must be in an information security role with demonstrated working knowledge of information security, federal and state rules and regulations, company/business unit operations, compliance policies, procedures, and/or programs in the area of assignment.
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This position will be responsible for leading our compliance coverage across both P&C and Pet sales and distribution organizations. Provides multi-level and multi-issue compliance consulting and advisory services at the most complex levels to a diverse mix of customers, including administration, sales, marketing, actuarial, systems, claims, attorneys, accountants, financial advisors and government and regulatory agencies.
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and compliance jobs in West Des Moines, IA
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