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Demonstrable experience leading a compliance program at a broker-dealer, including strong working knowledge of FINRA Rule 2241 and various rules related to investment banking compliance and regulatory filing.
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As an IT Compliance Analyst, you will play a crucial role in overseeing IT and business operations and help ensure regulatory compliance. We are seeking a highly motivated and detail-oriented IT Compliance Analyst to join our dynamic team at ASSA ABLOY Americas Residential.
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Analytics Insights, Business, Business Direction, Client Relationship Management, Finance, Global Market, Marketing Strategies, Portfolio Management, Regulatory Compliance, Sales, Structured Products.
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The NERC CIP Compliance Analyst is responsible for providing compliance oversite, guidance, and direction necessary to maintain compliance with North American Electric Reliability Corporation Critical Infrastructure Protection program.
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The Compliance Analyst role is a member of the PGIM Fixed Income Regulatory and Distribution Compliance Team, which is embedded directly in the PGIM Fixed Income business and interacts with mainly with the Client Advisory Group, which includes sales, consultant relations, product support, client management, and marketing teams.
$83,400 - $124,100 a yearFull-timeExpandApply NowActive JobUpdated 10 days ago - UpvoteDownvoteShare Job
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Plan and execute client engagements focusing Operational Risk, Operational Resilience, Regulatory Compliance, Surveillance, Conduct Risk, Third Party Risk Assessments and other risk programs.
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Stay abreast of changes in regulatory requirements, industry best practices, and emerging trends related to BSA/AML/OFAC compliance. This role requires a deep understanding of regulatory requirements, risk management principles, and the ability to conduct thorough investigations and analyses to ensure compliance with all relevant laws and regulations.
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Responsible for the coordination and oversight of South Brooklyn Health’s Human Resources Department reception area, and ensuring regulatory compliance of HR standards. Track HR’s regulatory compliance including, but not limited to training, performance evaluations, licenses, annual physicals, etc.
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The Product Compliance Strategy Director is responsible for establishing the Compliance tech strategy across all company's products to ensure they meet regulatory requirements, industry standards and best practices, while effectively enabling business growth and needs.
$200,000 - $250,000 a yearFull-timeExpandApply NowActive JobUpdated 12 days ago - UpvoteDownvoteShare Job
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Expertise in regulatory compliance, particularly in relation to the crypto industry, including AML, KYC, and other relevant regulations. You'll oversee the entire financial reporting process, from data collection to analysis and presentation, ensuring compliance with relevant regulatory requirements such as GAAP (Generally Accepted Accounting Principles) and IFRS (International Financial Reporting Standards), as well as any specific regulations governing the crypto industry.
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The ideal candidate must possess strong accounting, compliance, regulatory reporting and operational expertise, an ability to communicate and work with various teams outside of Finance (such as Legal/Compliance, Trading Operations and other Product/Engineering groups), and a desire to make a significant impact on a dynamic, high-growth technology company.
$161,500 - $190,000 a yearFull-timeExpandApply NowActive JobUpdated 2 months ago - UpvoteDownvoteShare Job
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Act as corporate Radiation Safety Officer (RSO), ensuring compliance with Nuclear Regulatory Commission (NRC) and State Radioactive Materials programs regulations. Provide technical expertise, leadership, and support for all of Company’s locations and departments on regulatory compliance issues in EHS.
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The Head of AML position involves leading and implementing comprehensive anti-money laundering (AML) efforts within a reputable broker dealer firm, ensuring compliance with regulatory requirements and mitigating financial crime risks.
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This position will support the coordination of maintenance and regulatory compliance for Cheyenne Regional Medical Center (CRMC) Fire Systems and Life Safety Measures and provide technical advisement to remedy non-compliance issues concerning federal, state, and local fire code as well as The Joint Commission (TJC) standards.
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5+ years of regulatory or compliance (or related) experience in an investment advisory or broker-dealer firm. Are you a compliance professional with regulatory knowledge that enjoys working collaboratively.
$83,400 - $124,100 a yearFull-timeExpandApply NowActive JobUpdated 9 days ago
regulatory compliance jobs Title: pharmacy technician Company: Cvs Health Retail in Jersey City, NJ
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