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Providing 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 continuing education, electronic communications surveillance, information barriers, restricted/watch lists, institutional research, investment banking, and institutional sales.
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Performing analytics related to the BSA/AML compliance controls for regulatory examinations, tuning and optimization of controls. Partner with Compliance Program team and Compliance Product team to facilitate the dashboarding and reporting design conversations for AML, Sanctions and KYC controls.
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You will work with the Global Trade Compliance Team, collaborate across the Bloomberg Engineering teams, Chief Technology Office, Chief Information Security Office, and other business groups, to provide regulatory oversight of software / technology development / implementation / deployment as it related to import / export compliance across the various Bloomberg businesses.
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The primary role of the FERC Compliance Analyst will be to support the implementation of the FERC Compliance Program and to help drive effective administration of the program in concert with the various business units and departments at LS Power under the supervision of the FERC Compliance Manager and Chief Compliance Officer.
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Lead regular compliance audits and risk assessments including policy creation, documentation, manager training, systems / process approvals as needed to identify areas of potential compliance vulnerability and recommend corrective actions.
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A bachelor's degree and approximately 5 years of work experience with capital markets and/or broker dealer regulatory compliance or a graduate degree and approximately 4 years of consulting work experience.
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Customer Success Specialist (Bengali / Hindi / Urdu)
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As the licensed Funeral Director, responsible for the compliance with all mortuary, health, and vital statistics regulation compliance within the funeral establishment(s). Ensures compliance with local, state, and federal regulations.
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Justworks is seeking an exceptional Lead Security Risk Analyst to join our Governance Risk & Compliance (GRC) team. The Lead Security Risk Analyst will report to the Senior Manager, Governance Risk & Compliance and liaise with other teams across Digital Security.
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Act as assistant researcher regarding compliance and regulatory program standards and requirements; programs include HUD Section 8 / Affordable Housing, LIHTC, HOME, Mitchell-Lama, HHAP, Fair Housing, Affirmative Fair Housing Marketing, HPD Regulatory, among others.
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A financial services firm in New York City is currently seeking an experienced Compliance Consultant to join their growing team as their new Associate Director - Broker Dealer Compliance.
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Reporting to the Director of Security, the Security Coordinator will develop, manage, and administer security-based systems, ensuring compliance and functionality at all times. Fire and life-safety systems, ensure best practice and compliance relating to health and Safety and Fire Safety legislation.
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Compliance and Regulatory Knowledge: Familiarity with Personally Identifiable Information (PII), Protected Health Information (PHI), the Health Insurance Portability and Accountability Act (HIPAA), and Health Information Trust Alliance (HITRUST) compliance frameworks is highly valued in this role.
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The Manager of Call Center Quality and Compliance is responsible for the day-to-day management of the Quality Assurance and compliance team. Manage the day-to-day operations of the Quality Assurance and Compliance team.
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8+ years as an Electrical Engineer, Compliance Engineer, EMI Engineer, EMC Engineer, or related title preferred. Determines methods and layouts for compliance to EMC design standards for customers and determines testing programs for validation of the customers equipment.
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compliance job Company: Metroplus Health Plan in Newark, NJ
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