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Reporting to the CEO, you will oversee the broker-dealer compliance program functions including implementation of written supervisory procedures, policies, training, annual testing, transaction monitoring, and AML compliance.
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You'll oversee the entire financial reporting process, from data collection to analysis and presentation, ensuring compliance with relevant regulatory requirements such as GAAP (Generally Accepted Accounting Principles) and IFRS (International Financial Reporting Standards), as well as any specific regulations governing the crypto industry.
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Assist in the maintenance of the effective regulatory relations and compliance program for continuous monitoring, regulatory inquiries and exams associated with the Federal Reserve ("Fed") and the Office of the Comptroller of the Currency ("OCC") for Operational Risk, Cybersecurity, Technology, Third Party Risk Management and BCP/DR related focus areas ("IT & Operational Risk Management Topics.
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Leading financial reporting processes for various investment products, including annual audits, regulatory reporting, investor reporting, and internal business planning. - Developing and maintaining risk management reporting, including liquidity, foreign exchange, and fund compliance.
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Ares is seeking a talented Compliance professional to serve as its Head of Regulatory Reporting. Work collaboratively with cross-functional members of the Firm’s global Finance & Accounting, Investment Operations, Legal, and Technology departments to ensure effective and efficient operations of the Regulatory Reporting program.
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Familiarity with broker dealer compliance reporting, including SARs and CTRs. The Head of AML position involves leading and implementing comprehensive anti-money laundering (AML) efforts within a reputable broker dealer firm, ensuring compliance with regulatory requirements and mitigating financial crime risks.
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Regulatory Operations team is responsible for reporting to external stakeholders in the North America region, including the reporting and monitoring of trade, transaction and position information across a wide range of traded financial products and business lines for the CFTC (Commodity Futures Trading Commission), SEC (Securities and Exchange Commission), and CSA (Canadian Standards Association) obligations.
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As an IT Compliance Analyst, you will play a crucial role in overseeing IT and business operations and help ensure regulatory compliance. We are seeking a highly motivated and detail-oriented IT Compliance Analyst to join our dynamic team at ASSA ABLOY Americas Residential.
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The ideal candidate must possess strong accounting, compliance, regulatory reporting and operational expertise, an ability to communicate and work with various teams outside of Finance (such as Legal/Compliance, Trading Operations and other Product/Engineering groups), and a desire to make a significant impact on a dynamic, high-growth technology company.
$161,500 - $190,000 a yearFull-timeExpandApply NowActive JobUpdated 2 months ago - UpvoteDownvoteShare Job
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The NERC CIP Compliance Analyst is responsible for providing compliance oversite, guidance, and direction necessary to maintain compliance with North American Electric Reliability Corporation Critical Infrastructure Protection program.
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Including Basel III endgame proposal) to ensure consistent application of instructions, and standardized documentation for regulatory reporting and capital policies across the CUSO.The individual will also be responsible for oversight of the accounting advisory function (25%), providing technical expertise on accounting interpretations under US GAAP and IFRS (where applicable) to ensure that the CUSO in compliant with new reporting standards and pronouncements.
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Plan and execute client engagements focusing Operational Risk, Operational Resilience, Regulatory Compliance, Surveillance, Conduct Risk, Third Party Risk Assessments and other risk programs.
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Our teams implement transaction tax engines and tax reporting/compliance technologies for large organizations through standard or custom integrations. Familiarity with Artificial Intelligence/ Machine Learning, Robotics Process Automation and Blockchain and their impact on the regulatory environment.
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Stay abreast of changes in regulatory requirements, industry best practices, and emerging trends related to BSA/AML/OFAC compliance. This role requires a deep understanding of regulatory requirements, risk management principles, and the ability to conduct thorough investigations and analyses to ensure compliance with all relevant laws and regulations.
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This is a full-time position reporting to the VP, Chief Compliance Officer and Deputy General Counsel and the base salary range will be 219,000.00 - 257,000.00 USD per year. Collaborate closely with the Compliance function with identifying and complying with all relevant regulatory compliance obligations that apply to the payment operations of the Etsy group marketplaces, both within the US and internationally.
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medicare compliance regulatory reporting jobs Title: compliance specialist Company: Metroplus Health Plan in New York, NY
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