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Responsible for administering, maintaining, coordinating and monitoring the Banks day-to-day compliance with BSA/AML/OFAC/CDD/EDD/KYC/FinCEN/USA Patriot Act, etc. Act as a liaison for State and Federal examinations and internal and external independent audits of the Banks BSA/AML/OFAC compliance programs.
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Reporting into the Lead of the Sprint Compliance team, this Auditor will be responsible for navigating high stakes Compliance projects — from long-term planning to day-to-day execution.
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A prestigious Asset Manager focused on income-oriented credit investments is hiring a Compliance Officer / Regulatory Counsel. The Compliance Officer / Regulatory Counsel – Regulated Funds will drive the regulatory compliance function for all matters relating to the registered and regulated investment vehicles managed by the firm (including closed-end funds, interval funds and business development companies) (“Regulated Funds”), with a focus on the Investment Company Act of 1940 (“1940 Act.
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At least 5+ years of experience with the SEC, FINRA, CFTC, NFA, an exchange, an accounting firm or law firm with a focus on security or commodity regulations, a broker-dealer or an FCM. Experience in a compliance testing or audit role is strongly preferred.
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The QA & DEA Compliance Coordinator is responsible for maintaining all administrative controlled substances activities, including all reports and quotas, maintain all controlled substance certificates, performs duties of the QA & compliance associates as required.
$85,000 - $90,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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Supervises Benefits Manager and Data Compliance and Benefits Administrator. The HR Compliance Manager is responsible for defining and documenting policies and procedures related to the standards established by the business that comply with applicable external legislation/regulations.
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Assist the Chief Compliance Officer with matters relating to conflicts of interest, trade reporting, securities filings, gifts & entertainment and AML/KYC matters. Provide compliance and legal support to Starwood Capital Group, a private investment firm with a primary focus on global real estate.
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Assist in developing responses to regulatory compliance requests, enforcement actions, and data reporting from a NERC CIP compliance perspective. Maintain sound technical understanding of NERC compliance monitoring and enforcement processes.
$113,000 - $169,000 a yearFull-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
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The Food Safety and Quality team at BrightFarms is hiring a Technical Compliance Manger who will own the creation of SOPs, SSOPs, Policies, and Training Materials, focused on our farm quality and food safety systems.
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4-6 years of regulatory compliance or legal experience at another asset manager, a law firm, an accounting firm, the SEC, or a regulatory consulting firm. This person will report to AlpInvest’s Chief Compliance Officer (“CCO.
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As Senior Compliance Manager in the RWE Clean Energy compliance team, you will support our business across the Americas on compliance matters relating to topics such as culture building, anti-corruption, anti-money laundering and providing daily advice on other compliance related topics.
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ICapital is looking to hire a Tax Compliance Associate or Assistant Vice President to join to Fund Finance Central Services team. Coordinate and oversee the fund federal and state tax compliance, as well as Schedule K-1 and tax estimate reporting.
$80,000 - $130,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Performs an advanced level of internal audit building on experience developed as an internal auditor. A Senior Auditor shall participate in all phases of an audit, contribute to the continuous improvement of the internal audit process, conform to professional standards, consider best practices on all audit activities, and work with internal and external experts in accounting, auditing, and systems.
$81,300 - $122,000 a yearFull-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
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Serves as an insurance regulatory subject matter expert and provides compliance guidance to business unit management; including, compliance requirements for New York Regulation 187; telemarketing and privacy laws; licensing and appointment requirements; background checks; and producer compensation requirements.
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Interactive Brokers is hiring an experienced auditor to perform independent assessment of its broker dealer entities. IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories.
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Title: compliance auditor Company: Northeast Missouri Health Council in White Plains, NY
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