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Provide subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, including but not limited to anti-money laundering, outside brokerage accounts, outside business activities, OSJ/branch inspections, firm element CE, email surveillance, information barriers, restricted/watch lists, institutional research, investment banking, and institutional sales.
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Must meet 8140 baseline certification requirements (CISSP, CCNA, CySA+, GISCP, Sec+CE, CND, SSCP etc.) Must meet 8140 baseline certification requirements (CISSP, CCNA, CySA+, GISCP, Sec+CE, CND, SSCP etc.
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The Deputy Program Manager must possess and demonstrate an applied knowledge of utilizing the General Services Administration USAccess system to sponsor individuals for HSPD-12 PIV credentials to grant logical and physical access to SEC facilities and allow enrollment of fingerprints for criminal history records checks.
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Expertise in the conception, formulation, optimization, automation, processing, characterization and manufacture of a unique silicone polymer composition of a specialty medical device including analytical chemical testing including gas and liquid chromatography, gel permeation chromatography (SEC), UV/Vis, FTIR, viscosity testing.
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Analysis of silicone raw materials, intermediate formulation mixes and final formulations using various state-of-the-art analytical techniques including but not limited to GPC, HPLC, GC, rheometer, UV-vis and others.
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The exposure is second to none; litigating both criminal and civil cases at the trial and appellate level, as well as defending individuals and companies in prosecutions and investigations conducted by U.S. Attorneys’ Offices and multiple divisions of the U.S. Department of Justice (DOJ), including, Food and Drug Administration (FDA), Environmental Protection Agency (EPA), Securities and Exchange Commission (SEC) and Antitrust Division.
$225,000 - $250,000Full-timeExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
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Utilize extensive knowledge of polymer chemistry principles for materials selection/management, formulation processes to enhance the scalability and quality of the lens material. Background in organic-polymer synthesis and characterization, biocompatible polymers, peptides and lipid-protein-conjugates, oligonucleotides, structure-property relationships, formulation and process development, small & large molecules, analytical separations, isolation and identification of impurities.
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SEC reporting experience using software, such as Workiva, Toppan Merrill or DFIN. Exposure to Cash to GAAP conversions, IFRS to US GAAP conversions, and SEC reporting. Three (3) or more years of experience within a public accounting firm and/or industry environment performing audit, accounting or consulting services for SEC registered public companies required.
$70,585 - $154,300 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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GCTI, GSEC, SEC+, or CEH Cybersecurity Certifications Clearance: Applicants selected will be subject to a security investigation and may need to meet eligibility requirements for access to classified information ; TS/SCI clearance is required.
$84,600 - $193,000 a yearPart-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Ensure compliance with relevant laws, regulations (e.g., HHS, SEC, state agencies), and industry standards (e.g., PCI, HITRUST) across Humana. Deep experience in operating risk and compliance standards, including PCI, HIPAA, and HITRUST, and enterprise risk management practices.
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The CCO will manage and improve the compliance program and offer guidance to company leaders regarding conflicts of interest in funds and investments, obligations outlined in LPAs and side letters, and the application of rules set by regulatory bodies like the SEC and the FINRA.
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The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of new and updated financial industry laws and regulatory requirements (e.g., FINRA, NASDAQ and SEC.
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We have long-standing relationships with contacts on the Senate Banking Committee, the House Committee on Financial Services, and the SEC Commissioners and staff, as well as excellent working relationships with key contacts at the Financial Accounting Standards Board and U.S. stock exchanges.
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Position Overview: The Senior Accountant, External Reporting will be primarily responsible for assisting with the preparation of SEC reporting, the Company’s SOX compliance efforts and general coordination efforts with external auditors.
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The Chief Compliance Officer will manage and enhance a best-in-class compliance program and advise senior firm leadership on fund and investment related conflicts of interest, LPA and side letter obligations, and the implementation of SEC and FINRA rules.
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sec job in Bethesda, MD
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