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The Advisory Compliance team serves as a regulatory advisory function 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, and Trainingcommittees.
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And coordinating with other Chief Officers for credit risk and legal/compliance/BSA/AML risk. Ensure and responsible for an effective Enterprise Risk Management strategy, culture and framework that includes establishment of risk limits on an enterprise-wide basis and monitoring of compliance of such limits; the implementation of and ongoing compliance with policies and procedures; development and implementation of processes and systems; management or risks and risk controls within the risk-control framework; and monitoring and testing of the risk controls.
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The division ensures the continuous delivery of an adequate, reliable supply of high quality drinking water through the Catskill and Delaware Aqueducts to approximately 9.5 million people in NYC and upstate communities in an environmentally healthy, safe, fiscally responsible and efficient manner while maintaining compliance with the provisions of the Supreme Court Decree of and all other applicable environmental, health and safety laws and regulations.
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Job Description Title: Fun Chief Compliance Officer - HYBRIDLocation: Boston, CO; Coral Gables, FL; Dallas, TX; Denver, CO; Dublin, OH; Kansas City, MO; New York, NY; Union, NJ | HybridGet to Know The Team:This position will act in the capacity of Chief Compliance Officer for certain investment company clients.
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The Chief Risk Officer for Finance (Finance CRO) organization provides risk management oversight of the Global Finance function, including effective risk challenge and mitigation of risk for capital, liquidity, interest rate risk and Treasury investments, and ensures compliance with all risk-related regulatory requirements.
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Develop expertise on the Capital One threat landscape using internal data, threat trends, and operational metrics to clearly communicate the Capital One threat landscape to senior executives, to include the Chief Information Security Officer and Chief Information Officer.
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Proactively build and maintain relationships with partner teams, including but not limited to Cyber Intelligence, Red Team, Insider Threat, and Hunt teams. At least 3 years of experience with Threat Intelligence Platforms (TIPs), Security Orchestration, Automation, Response (SOAR) or Security Information and Event Management (SIEM) tools.
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The successful candidate will report directly to the Chief Compliance Officer (CCO) and will be responsible for assisting in the development, implementation, and maintenance of our compliance program.
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The Deputy Chief of Staff works in direct support of the School's mission to ensure access for the very best and brightest nontraditional students to a Columbia undergraduate education, including the School's work in Diversity, Equity, and Inclusion and ensures that the Dean's priorities in this area are deeply ingrained across the full breadth of the School's current activities and newest initiatives.
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Work with CCO in assessing, overseeing, and improving the risk management and compliance practices for retail crypto trading and custody. Subject matter expert with 7 plus years as a retail compliance officer in brokerage, banking or trust services.
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The Chief of Ambulatory Care serves to oversee and improve the outpatient clinical services; oversee the operational services, in conjunction with the Ambulatory Care administrative lead; and to represent Ambulatory Care facility-wide.
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Collaborates closely with the President's Cabinet, in particular the President's Chief of Staff, and with our external lobbyist partners at the state and federal levels to effectively represent the university's interests in the State of New Jersey.
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The Senior Director, Model Validation for Santander US Compliance models (Transaction Monitoring, Sanctions Screening, Fraud Risk, etc) will be responsible for leading the independent validation of models used by various Compliance groups in conformance with regulatory guidance on model risk SR11-07 and other regulatory requirements around Compliance models.
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Provides contribution to development of target state strategy of the overall approach to Non-Trading Market Risk programs in alignment with the Enterprise Risk Management Framework. Familiar with interest rate risk in banking book, investments, and balance sheet management activities.
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You will work as part of a small Compliance team conducting SAM alert investigations on intermediary wire transaction monitoring, performing basic data collection and analysis, and assisting the BSA/OFAC Officer in carrying out daily BSA/AML/OFAC tasks.
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