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Investment Adviser SEC compliance Consultant Job Locations US-New York ... US-MA-Boston Job ID 2019-1198 Category compliance Type Regular Full-Time Overview The ... in mock regulatory examinations and compliance program reviews..
Job Description: Compliance/Document Control CoordinatorPosition SummaryThe Compliance / Document Control Coordinator (CDCC) ... aspects of document control and compliance. The CDCC manages the ECO ... CDCC also administers the company's..
... goals. The Role As a Compliance Advisor you will travel to ... each office, evaluating them for compliance with applicable company and industry ... to identify issues and determine..
Job Description Compliance officer focused on the trading ... securities lending. This includes providing compliance support to ensure operational functions ... implementation. Serve as an expert compliance resource for trading..
Support the activities of the Firm's Consultants
Maintain written policies and procedures
Create Business and Education Continuity Plans
Draft CEO Certification Reports
Complete Broker-Dealer Annual Reviews
Assist clients with FINRA ..
... looking for a Legal and Compliance Associate with a JDand 2β3 ... SIMON in preventing,detecting, and mitigating compliance, legal, regulatory, and reputational riskby ... etc.) Develop, draft, and maintain..
... Vice President Manager Swap Dealer Compliance in NEW YORK New York ... of the CCOβs Swap Dealer Compliance team, this individual will support ... support the Swap Dealer Chief..
About Our ClientThe client is an International bank who focuses within a niche space of banking and financial services, within the foreign exchange market.Job DescriptionKey responsibilities of the Compliance Administration Specialist ..
Kforce has a client that is seeking a Licensing Compliance Coordinator in Boca Raton, Florida (FL).
Acquire data from field offices to establish licensing and certifications records and ..
... WSG (Group, Life and Retirement) Compliance Department is seeking a Director, ... Department is seeking a Director, Compliance to provide day to day ... to provide day to day..
VP, Deputy Chief Compliance Officer','PRU000VK','!*!The Vice President, Deputy Chief ... Officer','PRU000VK','!*!The Vice President, Deputy Chief Compliance Officer Prudential Advisors will have ... of each of the following compliance teams: broker-dealer..
The Compliance Admin Specialist is responsible for reporting into the Head of the department, regarding all matters within Compliance, providing the team with support on interactions with regulators, paralegal/documentat work, technical ..
... of activities in the Investment Compliance group to monitor compliance with federal and state regulatory ... senior level staff to resolve compliance issues in an efficient and ... and..
... that of Senior International Trade Compliance Analyst (Special Assistant to the ... to the Associate Deputy Assistant Secretary for Antidumping and Countervailing Duty ... AD/CVD Operations), Office of Assistant..
... better future. Our Opportunity: The Compliance Department provides advice and guidance ... with the public. Our IIMS Compliance Risk and Surveillance Group is ... the Managing Director of IIMS..
Monsanto Compliance Analyst in St. Louis Missouri ... Missouri Position Overview: As our Compliance Analyst you will be driving ... be driving and ensuring SOX compliance for Climate This will..
... Auditor What we need: Securities Compliance Auditors conduct audits of branch ... of branch offices to determine compliance with FINRA, SEC and State ... What you will do: Conduct..
Cancel C Senior Manager, Flood Compliance Cobank Greenwood Village , CO ... expertise to the bank's flood compliance team. Leads the bank's compliance program with respect to federal ... expertise..
... well-qualified individual for our Staff Compliance Analyst opening in Rockville, MD ... and processes related to company-wide compliance activities , including, but not ... for Section 404 (SOX 404)..
β’ Work with the Licensing Compliance team to launch a licensing compliance program for a new business domain.
β’ Acquire data from field offices to establish licensing ..
Monsanto Compliance Analyst in San Francisco California ... California Position Overview: As our Compliance Analyst you will be driving ... be driving and ensuring SOX compliance for Climate This will..
... Summary: Support the Bank's Fiduciary Compliance Program by conducting testing activities ... by conducting testing activities for compliance with fiduciary and securities related ... rules and regulations. Major Responsibilities:..
Compliance Field Advisor We are seeking ... Advisor We are seeking a Compliance Field Advisor to join our ... Field Advisor to join our Compliance team to conduct general market..