Average salary: $130,000 /yearly
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...will be primarily responsible for monitoring client portfolios for compliance with securities laws and client guidelines. Candidate must... ...documentation of trading errors. Report all errors and exceptions to the VP of Compliance and CCO.
Assist in the authoring,...
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Description
The VP, Mortgage Compliance Officer will provide business unit oversight of compliance with primary federal and state regulations and statutes for the mortgage department. This position will work closely with the Compliance...
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Loan Compliance Officer Oklahoma City, OK Onsite PositionBancFirst Tower, Downtown Oklahoma City100 N. Broadway Avenue, Oklahoma City, OK 73102Full Time
ESSENTIAL DUTIES AND RESPONSIBILITIES include the following. Other duties...
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...excellence of our academic community.
Description:
Reporting to the Vice President and Chief Administrative Officer and to the chair of the Audit and Compliance Committee (ACC) of Emory University's Board of Trustees, the AVP/CCO oversees the execution of the...
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...inspection and review of each operational area.
~ Work with VP of Safety, and Senior Safety Director on projects as directed.... ...software and emails
Proficient in using a computer and Microsoft Office (Outlook, Word, Excel, etc.)
Excellent verbal and written...
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...Compliance Officer - Wealth Management & Investment Advisory
Jefferies, the global investment banking firm, has served companies and investors for over 50 years. Headquartered in New York, with offices in over 30 cities around the world, the firm provides clients with...
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Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design...
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The VP, AML Compliance Officer is responsible for oversight and the execution of the Management Control Assessment (MCA) program for CRIU and other AML functions globally. This position may also support AML Control Programs such as Audit/Issue management, Records Management...
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...regulations and ethical standards. As such, responsibility for Compliance is not assigned to a given function (e.g., the Compliance... ...to include programs administered by the Company’s Compliance officers. The Chief Compliance Officer (“The CCO”) assesses the extent...
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VP Cloud Compliance
New York, United States of America
The VP Cloud Compliance operates within the First Line of Defense and is accountable to assist the Business Control & Risk Management team in driving effective and consistent business line execution against...
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...Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM) in the Office of Fair Lending responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design...
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...Job Description
Job Description VP Consumer Regulatory Compliance Officer
Located onsite in Manhattan with a foreign bank
Base salary $100-135K based on experience and skills
Required Education and Experience:
BA or BS required.
A minimum of 5-7 years...
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...to Rule 206(4)-7 of the Advisers Act which includes conducting reviews of the Groups policies and procedures as included in the Compliance Manual.
Conduct general compliance reviews for the Group, including but not limited to: marketing reviews, personal securities...
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The Compliance Officer is responsible for ensuring the Credit Union is in compliance with all state and federal regulations, laws, and rules. Analyzes new and pending compliance requirements affecting the Credit Union's practices. Develops, revises, communicates, and implements...
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...The Global Atlantic Financial Group.
TEAM OVERVIEW
KKR's Compliance team is responsible for developing and enforcing compliance... ...capital markets.
POSITION SUMMARY
Based in one of KKR's core offices, this individual will be responsible for supporting various...
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...and have raised about $60M in equity funding from top venture capital firms and angels.
The Role
Cardless is seeking a Compliance Officer to join our stellar and growing Compliance team! The Compliance team is responsible for the successful launch of our custom cobrand...
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...Job Description
JOB SUMMARY:
The Compliance Officer is responsible for determining all functions impacted by external governing organizations and ensures compliance. Serves as Compliance Officer and Privacy Officer and manages legal risk as described.
MAJOR DUTIES...
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...Compliance Officer
Position Summary : The Compliance Officer's primary responsibility is to ensure that requirements of regulatory laws, bank secrecy act and community reinvestment act are being implemented. The Compliance officer will act as a liaison between regulatory...
Bank staff
..., development, implementation, and monitoring of an effective compliance and patient privacy program for the Santa Clara Valley Healthcare... ...position would be for the Valley Health Plan (VHP) Compliance Officer role. This candidate will be in charge of overseeing VHP's...
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..., LLC, a leading self-clearing broker-dealer is looking for a Compliance Associate to join the team. He/she will help with the delivery... ...related field.
~3+ years' proven experience in a compliance officer role and broker/dealer-related and escalations.
~ Series 7...
