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The Corporate Compliance Manager will report to the Deputy General Counsel- Compliance and will work as part of IEEE's in-house Legal and Compliance team in a fast-paced, non-profit environment.
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The Compliance Manager is a key member of the Ethics & Compliance (“E&C”) team supporting Trading & Shipping’s (“T&S”) Gas & Power Trading Americas (“GPTA”) business unit. The position reports to the Senior Compliance Manager and is primarily responsible for performing surveillance of business activities, influencing culture, delivering training and providing guidance to the business to ensure compliance with all laws, regulations and bp policies and procedures.
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Sia Partners is looking for a talented Management Consultant to support our Risk, Regulatory & Compliance Business Unit serving our clients as a project manager. Our consultants work closely with our clients’ Compliance and Legal leadership teams, leading cross-functional initiatives around Compliance (e.g., AML, KYC, Sanctions), Data Privacy (e.g., GDPR, CCPA, LGPD), Legal Operations and Process and high-stakes projects.
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Minimum 5 years' experience in a compliance officer role, with FINRA broker-dealer compliance experience a plus. You will have a primary focus as the deputy compliance officer for a US broker-dealer compliance program.
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Previous broker dealer compliance or other financial services responsibilities a plus. Coordinate with CCO to develop the Firm's internal compliance dashboard for servicing client accounts, managing the books and records database, corporate actions, and other operational tasks.
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Provide subject matter expertise and work with CRA team to conduct compliance risk assessments of various U.S. entities, particularly SMBC’s broker-dealer and swap dealer businesses. This role will include conducting compliance risk assessments of certain U.S. legal entities in the role of subject matter expert (“SME”) as well as managing other SMEs outside of the CRA team in their conduct of compliance risk assessments for the legal entities they cover (primarily non-U.S. entities.
$140,000 - $196,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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As a Compliance leader, this role will particularly focus on enhancement of policies, procedures and technology of the Firm’s Global Corporate Compliance program in coordination with the CCOs of EMEA and APAC.
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The Compliance Quality Assurance Specialist works under the Quality Assurance Officer as well as with the Financial Intelligence Unit (FIU) Investigations Director, the Deputy OFAC Officer, and the Head of the Customer Intelligence Unit (CIU.
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Responsibilities Work with CCO in assessing, overseeing, and improving the risk management and compliance practices for retail crypto trading and custodyWork with Sales, Product and Operations personnel to identify compliance risks and establish appropriate controls.
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Reporting to the Associate Director of Community Justice Initiatives, the Intake and Compliance Specialist will be responsible for an array of tasks including intake, monitoring participant scheduling, and community engagement activities.
$27.48 - $30.22 an hourFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Excel in developing strong client relationships, drive client dialogue both at CCO/CFO/COO and at CAMLO level, and in shaping and delivering value-led compliance projects. Well versed in global industry leading ecosystem technologies & tools, automation, AI and analytics plus already have a proven track record of implementing digital compliance solutions.
$131,100 - $369,800 a yearFull-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
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The Business Development Representative (BDR) is a high impact position that will be joining our rapidly growing sales team to help obtain new clients for our SaaS Accounting and Compliance Management Workflow Automation solution.
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The Chief Compliance Officer of Park Avenue Securities (PAS) will be responsible for representing the firm to regulatory bodies and other key constituents as well as having responsibility for the overall compliance framework for PAS as a dually registered broker-dealer and investment adviser.
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This position offers a unique chance to get exposure to securities law, anti-money laundering law, and fintech, while learning business, compliance and legal skills invaluable to any high-growth company.
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Ensure the accounting and reporting of the Division’s results are in compliance with Generally Accepted Accounting Principles (GAAP) and Colgate Financial Policies (CFP’s). Focused on Oral Care, Personal Care, Home Care and Pet Nutrition, we sell our products in more than 200 countries and territories under brands such as Colgate, Palmolive, elmex, hello, meridol, Sorriso, Tom’s of Maine, EltaMD, Filorga, Irish Spring, PCA SKIN, Protex, Sanex, Softsoap, Speed Stick, Ajax, Axion, Fabuloso, Soupline and Suavitel, as well as Hill’s Pet Nutrition.
$122,000 - $144,000 a yearFull-timeExpandApply NowActive JobUpdated 4 days ago
Title: compliance manager Company: Datalot in New York, NY
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