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The Department's Rail Transit Safety Division is designated as the state safety oversight agency within the DPU for the Massachusetts Bay Transportation Authority (MBTA) specific to rail transit safety and oversees MBTA's adherence to its own safety related processes and systems and monitors the authority's compliance with federal and state safety laws and regulations.
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Position Overview: The Financial Reporting and Compliance (SOX) Manager will assist in ensuring compliant, complete, accurate and timely SEC and other filings. Job Title: Financial Reporting and Compliance (SOX) Manager.
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Supporting Wellington's private investments compliance program (firmwide) regulatory risk areas including those that pertain to Conflicts of Interest, MNPI, Marketing, Fund Governance, Valuation, and ESG.
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The successful candidate will have experience conducting Phase I environmental site assessments (ESAs) and compliance reviews of complex commercial - industrial facilities and/or facilities with long industrial histories, managing multi-site environmental due diligence projects, conducting and/or managing environmental compliance audits of commercial - industrial facilities, and assisting clients with post-transaction integration.
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This is a hybrid position located in Boston, MA.What you will do:•Review investment advisor and certain institutional investor broker dealer marketing communications to ensure compliance with applicable FINRA and SEC regulations.
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The team works collaboratively with portfolio management, investment operations and various risk management teams across the Company to evaluate a broad range of compliance and risk related matters.
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Work with Bus Operations, Rail Operations, Engineering & Maintenance, Vehicle Maintenance and MBTA Safety to ensure Operating rules are disseminated and clearly communicated to the front-line workforce including all those conducting rules compliance audits.
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The SSGA Compliance team is looking to hire a Compliance Analyst, Assistant Vice President (AVP) to join the SSGA North America Compliance team. Assisting in the oversight, preparation, and/or filing of periodic bank, investment company, and investment adviser regulatory filings to satisfy client, regulator, and internal management requirements, including SEC Forms ADV, PF, NFA CTA Form PR, NFA CPO Form PQR, as well as the Rule 206(4)-7 annual compliance program report.
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Reporting to Tufts University Senior Vice President for University Relations and General Counsel, the newly created position of Chief Compliance Officer will oversee and manage the University’s compliance function and compliance risk.
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The Security Training & Compliance Coordinator is responsible for developing, implementing, and overseeing security training programs to ensure all employees are well-versed in the company's security policies and procedures.
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Partner with OGC, IT, Information Security, HRIS, HR and other relevant teams on deliverables related to payroll and time entry (ensure accurate time entry rules and payroll calculations, including meal waivers and PTO balances), EEO reporting, onboarding and introduction of new technology platforms; proactively notify relevant stakeholders about changes and ensure proactive compliance.
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The Ethics & Compliance function is a globally integrated team within the second line of defense of the firm. This role reports to the Director of Ethics & Compliance, Labor & Employment and will preferably be based in one of our US or Europe hubs with other global locations considered.
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The ideal candidate for the Compliance / Property Manager role will work with the Property Management teams and other departments that are following affordable housing guidelines. The Compliance / Property Manager works in affordable/low-income housing.
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Compliance risk management coverage will include all aspects of treating customers fairly aligned with key regulations, such as UDAAP/UDAP, Elder Abuse laws, SCRA/MLA and Americans with Disability Act. The Compliance Manager assures all protected consumers and businesses have fair and equal access to banking services and assesses customer treatment risk across applicable business lines.
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Provide regulatory leadership to the respective cross-functional team charged with advertising and promotion review to ensure compliance of promotional materials including, but not limited to, Physician and Patient Sales, Marketing and Educational Materials, Training Materials, Slide Presentations and press releases and external communications in compliance with global regulations and Company policies for ad promo materials.
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Title: compliance Company: Toyota Tsusho America Tai in Boston, MA
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