THE LARGEST COLLECTION OF COMPLIANCE JOBS ON EARTH
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College of Dentistry (DN1032)
Department Name :
Clinical Revenue Cycle and Clinical Support Services
Compliance OfficerCorporate Title: Vice PresidentLocation: New York, NY About Deutsche Bank A ... of ERISA, SEC, FINRA and CFTC regulations applicable to a hybrid wealth management business .....
... management services. The Firm's employees serve clients worldwide including corporations ... Extensive knowledge of FINRA and SEC regulations (GIPS guidelines a plus) addressing marketing and .....
- Compliance Manager (Senior Loans) (21022) Job Description ... (Senior Loans) (21022) Job Description Compliance Manager (Senior Loans) - 21022 ... ... years of experience working with SEC regulations in..
... assets under management. We provide our retail and institutional clients a diverse and ... to meet SEC/regulatory requirements and ensure compliance with all policies and procedures..
Report directly to the Manger of North American Compliance * Responsible for Compliance related tasks for the Firm's US (SEC & FINRA) and Canada (IIROC, OSC) regulated businesses including, but not ..
An individual who has been working for four+ years in a regulatory compliance related role with ... SEC as Investment Adviser and with the NFA/CFTC as CPO, and it manages CLOs, ..
It manages the Bank's risks and help to avert unintentional rule breaches and conflicts of interest ... SEC, broker dealer regulations and other relevant bank regulations * Ability to readily analyze ..
... products and wealth management, financial crimes, consumer compliance, and regulatory ... Basic understanding of FINRA, SEC broker-dealer regulations (e.g., Reg. ATS, Reg. NMS, Best .....
Preparing regular reports to the portfolio managers and senior management regarding legal and compliance matters * Coordinating various SEC, CFTC and foreign regulatory filings, including Section 13 .....
Growing Alternative Asset Manager with over $20 Billion of AUM. The platform includes private ... Ensure compliance with the Funds' governing documents as well as SEC (Registered Investment Advisor .....
... compliance notices and assist the FINOP with any regulatory examinations and inquiries Ongoing ... of SEC regulations a plus Company Description Wall Street Options (WSO) Executive Search .....
Compliance Risk Management Program: covering 2nd Lines of Defense ("LoD") (notably Compliance and ... S. securities, commodities, and banking regulations, including the rules and regulations of the SEC .....
... with SEC Rule 204-3. Manage a team of 3 associates to administer Eagle's regulatory compliance programs and support Eagle's business initiatives. Set objectives for the team and provide guidance .....
... and SEC reporting requirements, you will research technical accounting matters including complex ... Knowledge of Sarbanes-Oxley Act provisions and methodologies for achieving compliance. * Proficient .....
Provide support for qrtly SEC, Group and regulatory reporting needs related to RBWM including CCAR ... To implement the Group compliance policy locally by containing compliance risk in liaison with the ..
Solutions Delivery Sec-Ops Manager Location: Chicago preferred, all locations will be considered ... compliance, and IT process automation Devise and implement automated workflows to reduce manual .....
... SEC registered Investment Advisers for the Morgan Stanley Investment Management Private Side ... Compliance program globally. The role will be based in New York and report to the Head of ..
A global Management Consulting firm seeks a smart, energetic, motivated person with Compliance ... Involved with Regulatory filings including SEC Form ADV; Form 13F and 13H; Schedule 13G and 13D..
Manage daily activities of the EDGAR Group • Plan staffing schedules to ensure adequate client coverage • Create and maintain harmonious relationships with SEC staff in OIT, IM, Corp Fin and ..