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A minimum of 5+ years of investment adviser or broker dealer experience with emphasis on compliance. Responsible for the compliance review and approval of all marketing and sales material including pitchbooks, factsheets, thought leadership, and social media to ensure compliance with applicable SEC and FINRA rules.
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Job Description COMPLIANCE DIRECTOR, Office of the General Counsel Category Charles River Campus. The Compliance Director will support the AVP for CS in furthering the University's Compliance Program and the compliance responsibilities and initiatives managed and overseen by CSO, including development, maintenance, management, administration, and oversight responsibilities.
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ERM is hiring a Senior Project Manager, Natural Gas Project Delivery Permitting and Compliance to assist with current client development, new business development, and industry awareness. On a project-basis, act as client point of contact, lead an inter-disciplinary team that will support and assist with environmental impact assessment and regulatory permitting (e.g., baseline studies, facility siting and routing studies, land use planning, mitigation), as well as environmental compliance services during construction, commissioning, start-up, and operations.
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Establish and maintain productive relationships with Takeda Global Quality and R&D Quality Compliance & Systems personnel to represent CT/CTQ in Quality e-system improvement projects, system configuration changes and associated activities applicable to frequently used modules (e.g., documentation, learning, change control, deviation, CAPA.
$170,500 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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The position requires interface with Defense Contract Management Agency (DCMA), Missile Defense Agency (MDA), Federal Aviation Administration (FAA), and other customers, as well as Raytheon leaders on appropriate program and compliance status/issues.
$200,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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As the Director of Regulatory Services & Compliance , you will lead regulatory and compliance teams, client regulatory services, and the IACUC for NA Charles River Accelerator and Development Lab (CRADL) and NA Insourcing Solutions (IS) satellite sites including management of IACUC team, administrators, and consultants.
$250,000 a yearFull-timeExpandApply NowActive JobUpdated 2 months ago - UpvoteDownvoteShare Job
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Blueprint Medicines is a global, fully integrated biopharmaceutical company that invents life-changing medicines.
$46 an hourExpandApply NowActive JobUpdated 30 days ago - UpvoteDownvoteShare Job
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7+ years' experience working in compliance for an investment adviser (or other financial services firm) or equivalent experience with a law firm, accounting firm, or consultant. Manage and coordinate compliance oversight/advice and delivery of service to business functions and programs as situationally appropriate including, but not limited to, Administrative Operations, Enterprise Continuous Improvement (ECI), Marketing, Environmental, Social and Governance (ESG), and others.
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The Compliance Specialist also assists with special filing projects such as initial filings, name changes, terminations and fund reorganizations and updating Department policies, procedures, and systems that reflect any change affecting Blue Sky filings.
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8-10 years of experience in a compliance role or regulatory specialist role at an investment adviser (experience in a relevant legal role or a compliance consulting role will also be considered.
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Minimum eight years of related work in a regulatory compliance and/or risk management function, capital markets organization (Asset Management Firm/Investment Adviser, Broker Dealer, Wealth Management Firm, Swap Dealer, Securities-based Swap Dealer, Capital Markets or Asset/Wealth Management Division of a Large Diversified Bank), regulatory agency, or consulting firm.
Full-timeExpandApply NowActive JobUpdated 11 days ago - UpvoteDownvoteShare Job
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We are seeking an experienced US International Tax Senior Manager, Compliance and Planning to lead the global tax compliance and reporting efforts for our multinational business. US International Tax Senior Manager, Compliance and Planning.
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Essential Functions Works with the General Counsel & Chief Compliance Officer, Trinity’s Compliance Committee and Enterprise Risk Committee to develop and oversee Trinity’s compliance plan and conduct periodic compliance risk assessments and develop responsive action plans to address any identified concerns.
$150,000 a yearExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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Certified Anti-Money Laundering Specialist (CAMS) Certification or Certified Regulatory Compliance Manager (CRCM) 4+ years of tangible work experience in AML, Sanctions and/or Consumer Compliance at a financial services organization.
$72,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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The Department consists of six main functional areas: Loan Administration, Asset Management, Insurance Compliance, Investor Reporting, Treasury, and Compliance. The Compliance and Analytics team is responsible for development, management, and maintenance of internal controls sufficient to ensure compliance with all investor and regulatory requirements, along with quality assurance across the various groups within the Servicing department.
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Title: compliance Company: Toyota Tsusho America Tai in Waltham, MA
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