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The Firm is seeking a Regulatory Operations/Compliance Analyst or Associate to respond to Electronic Blue Sheet (“EBS”) requests and conduct analysis on trading activity contained in the reports.
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The ideal candidate will provide oversight of the program to ensure regulatory compliance with the requirements of the Accreditation Council of Graduate Medical Education (ACGME) and its Residency Review Committee (RRC), and the American Board of Psychiatry and Neurology (ABPN.
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You will oversee the design and delivery of the NFA/CFTC controls program, portfolio of projects, incident management, and implementation of overall compliance framework for the FCM as it pertains to the Futures product.
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Coding reviews include practice and ASC based services, ensuring compliance with ICD-10 CM, ICD-10 PCS, CPT, CDT, HCPCS coding and Modifier guidelines. CPMA and/or Inpatient Coding and Coding Instructor Credentials a plus but not required.
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The CLEAR Internal Audit team is seeking a versatile and collaborative IT Audit Director to help establish IT Governance, Compliance, Risk, and Audit strategies throughout the organization. What you're great at: Strong expertise in SOX Compliance for systems including User Access Reviews and ITGC and Application Controls Bachelor’s degree in accounting, Information Technology, or Management Information Systems.
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Certification in trade compliance (e.g., Certified Customs Specialist or Licensed Customs Broker) a plus. Execute statistical audits of customs entries and import/export documentation to ensure compliance with trade regulations.
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At least 7-10 years of experience in Compliance Advisory, a testing and/ or operational risk management role in a Financial Services Firm or Consulting Firm. Responsible for the development and maintenance of the inventory of regulatory controls in response to the Bank’s regulatory compliance management program as well as establishing the non-regulatory controls put in place to mitigate the other risks embedded within the respective Global Banking & Markets (GBM) business and thereby contributing to the overall success of the first line of defense in managing non-financial risks inherent in the businesses.
$211,800 a yearInternExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Oversees and directs Risk Management, Compliance, Bank Secrecy Act, Vendor Management and Security business units and all related management reporting. Expert-level understanding of key regulations (including the USA PATRIOT Act, Bank Secrecy Act, and OFAC requirements) and AML risks/typologies, as well as having the ability to identify emerging compliance trends and risks.
$280,000 a yearFull-timeExpandApply NowActive JobUpdated 9 days ago - UpvoteDownvoteShare Job
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Key responsibilities include analysis of model risk, analysis and reporting of market risk, distributing the market risk reports, and interfacing with the trading desk and other risk and support groups (i.e., Compliance, Finance, Operations, etc.
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About the Opportunity: Start Date: ASAP Assignment Length: Ongoing (Contract to Hire) Schedule: M-F Hours: 9-5p Patient Population: Trauma Impacted Individuals (all ages) Responsibilities: The LCSW / LMHC will: Provide long and short-term psychotherapy to clients and collateral family members where appropriate (including crisis intervention) in person or Telehealth in compliance with NYS OMH criteria.
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Provide expert legal advice on various aspects of ETF operations, including product structuring, disclosure, governance, regulatory, compliance, distribution, and marketing. Collaborate with external legal counsel and other service providers to ensure sufficient legal support and compliance.
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Utilize Subject Matter Expertise (SME) knowledge of compliance with Gramm-Leach-Bliley Act, PCI-DSS and SWIFT standards, and Federal Financial Institutions Examination Council requirements, Zero Trust framework, information security, information safeguards and classification, cloud environments, control design and assessment expertise when participating in IAM governance, monitoring or oversight activities.
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The Governance Team with Robinhood Markets Platforms comprised of the Customer Experience and Customer Trust & Safety areas works with various Robinhood entities including the Operational and Compliance teams at Robinhood Securities, LLC ("RHS"), Robinhood Financial, LLC (“RHF”), Robinhood Crypto LLC (RHC) and Financial Crimes to drive a culture of governance and compliance that actively supports the people, process and technologies vital to our business.
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Solid knowledge of the KYC and AML Compliance policies and how they are applied in a U.S. banking regulatory environment. Comprehensive knowledge and understanding of functional area and operational/compliance policies and procedures of their team.
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Other research-related duties include protocol compliance related to PSG data, psychometric assessments, vital signs, venipuncture, phlebotomy processing, ECG, and safety assessments. Requirements Must have NYS Polysomnographic Technologist license, RPSGT credential from the Board of Registered Polysomnography Technologists (BRPT), and two (2) years of experience in a sleep disorder enter or laboratory as a Polysomnographic Technologist or equivalent.
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compliance job in Newark, NJ
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