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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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Product Director, Value Chain Management Compliance and ESG. In collaboration with product, engineering, and commercial teams, work to develop the overall product strategy, product roadmap, and feature specifications for Altana's Value Chain Management Compliance offering including how to phase emerging ESG compliance offerings and the best approach for Altana to quickly and effectively bring end-to-end solutions to market that leverage Altana's core data and technology stack and network ecosystem assets.
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Providing ongoing Compliance advisory services to the U.S. Capital Markets business, which includes liaising with external regulators (e.g. FINRA, SEC, Federal Reserve), internal infrastructure support and front office personnel, in the development and implementation of CIBC's new business product offerings and the maintenance of the existing regulatory program.
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Helping to coordinate governance structure, policies, procedures, and processes related to business ethics, regulatory compliance, and product integrity matters, including Aptiv's Code of Ethical Business Conduct, Supplier Code of Conduct, and Safety & Warranty Advisory Team ("SWAT") process.
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Sound Point has a diverse product line which includes CLOs and various funds that invest in stressed and distressed credit, commercial real estate, structured products, consumer loans, and corporate special situations.
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The position will support the oversight and management of Medicaid, HIV SNP, HARP, EP, and CHP product compliance activities, including ensuring the implementation of regulatory requirements and the correction of issues of noncompliance.
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Knowledge and experience with payment product compliance advisory and review. Responsibilities:- Counsel and partner with product teams on a range of payment issues such as money transfer services, e-money, payment tokens, AML, gifts, stored value cards and facilities relevant to the region.
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The Product Development and Compliance Coordinator is responsible for managing all facets of product testing and specifications, as well as ensuring regulatory compliance, and will be intimately involved in corporate sustainability initiatives.
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A great product, amazing people and our stable financial history have made us one of the largest used car finance companies nationally. The Senior Governance, Risk, and Compliance (GRC) Security Analyst is responsible for supporting the security direction of the business and elevating the company's security posture.
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Description The Ares Legal and Compliance Department oversees and manages Ares’ global Legal, Regulatory and Compliance functions and programs. Reporting relationshipsReports to: Principal in the Registered Products team within the Legal & Compliance Department.
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The Sr. Advisor, Compliance serves as a subject matter expert for AML and ABAC advisory, with special focus on Global Transaction Banking products and Corporate and Investment Banking products, to ensure documents, projects, processes or product initiatives and transactions comply with regulatory and legal requirements and enterprise policy.
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AVP, Compliance Digital Technology is a compliance product owner of systems used by the Compliance department and throughout the firm. Product ownership of several compliance systems including managing book of work and complete projects.
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Compliance professionals with product, operational and regulatory knowledge with investment management programs will be expected to strategically partner with the business and other control functions to ensure that practices, processes, controls, products and services are in compliance with all applicable laws, rules and regulations.
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Client Engagement & Pre-Sales: Define and implement the go-to-market and product strategy. Coordinate and finalize Statements of Work with Sales, Managed Services, and Product teams. Reporting to the Commercial Head of Documentation and Regulatory Solutions, you will work closely with cross-functional teams, including Sales, Operations, Technology, and Product Management, to develop and enhance our suite of offerings.
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Role DescriptionThe Compliance group within SMBC Nikko Securities Inc. serves as a regulatory advisory function to the President and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the Chief Compliance Officer as either a member or observer of various committees such as the New Product, Underwriting, Risk Management, Compliance, IT Risk and Training committees.
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product job Title: compliance in Secaucus, NJ
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