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Join our team to review company policies and documents related to creating enforceable mortgage loans, oversee our loan originator compensation program, and collaborate with our Chief Compliance Officer and Director of Mortgage Compliance Oversight to ensure regulatory compliance and stay updated on relevant laws and regulations impacting our operations.
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Experience with Governance Risk & Compliance (GRC) tools and policy/procedure development. Minimum eight years of experience supporting Information Security governance, risk & compliance programs to meet regulatory or compliance requirements.
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What you will do:Draft and maintain policies and procedures to ensure that broker-dealer compliance programs meet applicable laws and regulations and ensure that advisors’ operations are conducted in compliance with applicable policies and procedures Oversee compliance risk assessments and manage the department’s testing and monitoring program in accordance with regulatory expectations and best practices.
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Wintrust has a great compliance culture that comes from the top. Additionally, Wintrust operates various non-bank business units including commercial and life insurance premium financing, short-term accounts receivable financing, out-sourced administrative services, mortgage origination and purchase, wealth management services and qualified intermediary services for tax-deferred exchanges.
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The Customs Compliance Specialist position is responsible for duty classification and compliance with import regulations. Identify product requiring OGA (Other Government Agencies) reporting, such as Fish and Wildlife, Aphis-USDA (US Department of Agriculture), and FDA (Food and Drug Administration.
$73,000 - $75,000 a yearFull-timeExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
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The VP, Compliance is also responsible for investigating and responding to complaints, conducting audits, responding to regulatory requests, and required compliance reporting. The VP, Compliance contributes to long-range planning and ensures compliance with both Federal and State Regulations.
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10+ serving in a compliance manager role or in a related position serving multiple labs. Work with Legal and other functions including government affairs to ensure that the businesses are aware of and in compliance with all federal and state regulations.
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Oversees the site's Food Safety Plan and HACCP plansManages the pre-requisite programs for the HACCP and Food Safety Plans (pest control, temp chart recorders, internal facility audits)Monitors process indicators and assures central data collection related to quality, compliance, certifications, and management system.
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The Code Compliance Inspector reports to the Deputy Director of Community & Economic Development (CED). Assists in researching problems and complaints regarding commercial and residential buildings, building construction and code compliance.
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Support continuous monitoring processes to assess compliance with information security policies and standards as well as legal and regulatory compliance requirements. IT Senior Compliance Analyst.
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Supporting CA/TQ by providing basic regulatory compliance guidance related to nutritional labeling changes, product claims (i.e. gluten-free, low gluten, organic), all T&L products. primarily in regulatory affairs, regulatory compliance, quality, nutrition or product development, with significant direct experience with FDA and / or USDA.
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The Senior Examiner conduct audits of branch offices to determine compliance with FINRA, SEC and State regulatory requirements, as well as firm policies and procedures. The Senior Examiner is pivotal to creating a partnership between the audit team and the leadership teams of each broker-dealer, home office and field supervisors, and the financial professionals in the field.
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Serving as the first point of contact, the Risk Management and Compliance Coordinator must be able to multi-task and work well in a fast-paced environment. State taxes, employment tax, and worker's compensation provisions vary from state to state and require payroll compliance with these various rules.
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Clean Harbors Central Compliance is looking for a Sr. Environmental Compliance Manager. Performs other assignments as assigned by management BS/BA preferred BS/BA in Chemistry or Environmental Science preferred 4 Years of compliance experience Knowledge of Department of Transportation (DOT - preferred) and Environmental Protection Agency (EPA) laws/regulations (required) Excellent communication, writing and presentation skills.
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We are seeking a dedicated compliance analyst to analyze areas of compliance monitoring and supervision. Plus500 is looking for a Compliance Analyst to join the Itasca, IL office.
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Title: compliance Company: Flynn Management in Elk Grove Village, IL
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