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The role will support management of the processes of onboarding managers, investors, KYC/AML requirements, Bank and SEC regulatory reporting, Fund Audits, and Client Reporting. Responsible for addressing KYC/AML and all regulatory elements for Clients.
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Knowledge of KYC, AML, and SEC Requirements preferred. Have or obtain Series 7, 65, and over time a Series 24 Hours & Work Schedule Hours per Week: 40 Work Schedule: M-F Some job boards have started using jobseeker-reported data to estimate salary ranges for roles.
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The IRB Regulatory Consultant will oversee regulatory operations of studies conducted by one or more Disease and Modality Team within Montefiore Einstein Cancer Center, including, internal (investigator-initiated studies), Cooperative group, and industrial protocols (pharmaceutical and biotechnology company studies.
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In-depth knowledge of the U.S. regulatory system in general and specifically knowledge of CFTC, NFA, FINRA, and SEC rules and regulations applicable to swap dealer and broker dealer and FED rules applicable to banks.
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BIC seeks a staff attorney to conduct regulatory and background investigations, make regulatory recommendations, draft Commission Decisions and conduct a wide range of other legal and policy work.
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Director, Model Validation for SHUSA Compliance models (Transaction Monitoring, Sanctions Screening, Fraud Risk, etc) will be responsible for leading the independent validation of models used by various Compliance groups in conformance with regulatory guidance on model risk SR- and other regulatory requirements around Compliance models.
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Represents Jet Aviation as one company internally and externally with industry groups, regulatory bodies and the General Dynamics network. Represents Jet Aviation as one company internally and externally with industry groups, regulatory bodies and the General Dynamics network.
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We invested in new offices, sector teams and practice groups including investor engagement; shareholder activism; governance; regulatory and public affairs, including geopolitical; crisis; litigation; social issues including climate change and diversity, equity and inclusion; cybersecurity, data and privacy; employee engagement; digital communications; opinion research and analysis, and; creative services.
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Oversee the investigation and analysis of suspicious financial activities, transactions, and patterns as well as associated regulatory reporting (SARs, CTRs, etc.) Serve as a subject matter expert on investigations, suspicious activity reports (SARs), Currency Transaction Reports (CTRs), and alert management in discussions with senior management, regulatory authorities, and external stakeholders.
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Bank regulatory agency Authorized to practice as corporate counsel and a member of good standing in the state/jurisdiction in which the position is based or in compliance with in-house counsel registration rules of that state/jurisdiction Strong interpersonal, analytical, influencing and communication skills Excellent judgement, writing skills and executive presence Self-starter, effective under pressure, proactive and flexible Strong knowledge of.
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Leading analytics related to the BSA/AML compliance controls for regulatory examinations, tuning and optimization of controls. Assist the team that will document, maintain, and tune AML transaction monitoring rules, sanctions screening systems, and risk scoring models as well as detailing data lineage and model/rule assumptions and parameters for all models.
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Assist in maintaining all necessary documentation for regulatory requirements associated with Investment and Operational Due Diligence (aka IDD/ODD) for fund investments. + Support the regulatory requirements of maintaining research records such as fraud oversight, news alerts, manager lists (initial, approved, terminated, etc.
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GRA partners with the Lines of Business and Enterprise functions to ensure that its models and analytics address both internal and regulatory requirements, such as quarterly Enterprise Stress Testing (EST), the annual Comprehensive Capital Analysis and Review (CCAR), and the Current Expected Credit Losses (CECL) accounting standard.
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Experience with the contents and implementation of specific regulatory initiatives such as: Dodd-Frank, general consumer compliance, regulatory structure and organizations including FRB, OCC and CFTC.
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Must have advanced knowledge of regulatory requirements and limitations, and operating policies for mutual fund service providers (i.e. investment adviser, custody, distribution, fund accounting agent, transfer agent, fund administration.
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regulatory job in Jersey City, NJ
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