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Oversee and manage service operations across all assigned legal office locations, ensuring compliance with operational strategies and high standards of service excellence. + Ensure adherence to safety, security, and regulatory standards specific to legal records management.
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Ensure compliance with legal records management regulations, policies, and legal requirements. Job Description: National Records Supervisor and Field Manager, Legal Office Operations. The National Records Supervisor and Field Manager, Legal Office Operations is responsible for overseeing and managing service operations and records information management across multiple legal office locations nationwide.
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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 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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Provide regulatory and Firm compliance policy advice / guidance to Equity Capital Markets, as well as Debt Capital Markets and Syndicate teams, and management on issues related to underwriting and private placements, marketing and selling securities offerings, as well as information barriers and other internal controls and issues typical of a global investment bank.
$211,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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The Route Supervisor ensures adherence to all accident prevention programs and leads operations to ensure compliance with all safety, environmental, operating, regulatory, accounting, ethics and other standards.
$95,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Direct reporting line to Regulatory Compliance, BSA/AML/Sanctions Audit Director. Notify immediately the Audit Manager / Regional Supervisor / Head of Local Audit of any major control weaknesses (reputational, regulatory, compliance, etc.
$180,000 a yearFull-timeExpandApply NowActive JobUpdated 24 days ago - UpvoteDownvoteShare Job
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The Senior Audit Manager will lead a team of auditors to assess the design and operating effectiveness of internal controls, adherence to regulatory reporting requirements and Bank policies, and the effectiveness of operations of the Risk Management functions (e.g., Enterprise Risk, Model Risk, Operational Risk, Data Office, Market Risk, and Third Party Risk.
$189,738 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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3-5 years in the financial services industry at a broker/dealer or regulatory agency (i.e. FINRA, SEC, CFTC), ideally with an emphasis on surveillance with exposure to business, IT, operations, support, and control functions.
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Actively pursue effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct.
$155,500 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Knowledge of regulatory requirements and compliance standards related to financial systems, such as SOX, PCI or GDPR. You will report directly to our Senior Director of Finance Operations and be based in our New York City office (flex/hybrid.
$250,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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OENS uses enforcement tools within its Division of Code Enforcement, Housing Litigation Division, Emergency Operations and Enhanced Enforcement, and the Division of Neighborhood Preservation to ensure compliance with legal and regulatory obligations.
$67,983Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Collaborate with the 1st Line of Defense (LOD), Financial Risk Management, Compliance and Regulatory teams to ensure regulatory initiatives are delivered on time with cross-divisional aspects considered, and consistent messaging from our team internally and externally.
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The opportunity The Sector Compliance Team focuses on services to financial organizations that address SEC, CFTC, FINRA, NFA OCC and other regulatory requirements for retail and institutional broker dealer compliance, capital markets, banking, swap dealer trading, investment management and investment advisor compliance.
$198,600 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Processes voter registration documents, absentee voter applications and ballots, and other election-related documents; verifies signatures on candidate nomination petitions; maintains and updates voter registration files; ensures compliance with all regulatory requirements.
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regulatory operations compliance jobs in Bronx, NY
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