Regulatory Exam Compliance Specialist

Job TitleRegulatory Compliance Specialist - Sanctions ProgramJob SummaryWe are seeking a highly skilled Regulatory Compliance Specialist to join our sanctions program team. As a key member of our compliance department, you will play a critical role in supporting sanctions programs, conducting reviews, and ensuring regulatory excellence.Key Responsibilities...

Regulatory Exam Lead OpportunityWe are seeking an experienced Regulatory Exam Lead to join our team. The successful candidate will be responsible for managing regulatory examinations across wholesale businesses, including operations, finance, reporting, and sales and trading.This role involves developing core compliance processes and participating in...

Job Title:Regulatory Compliance SpecialistAbout the Role:We are seeking an experienced Regulatory Compliance Specialist to join our team at the City of New York. As a key member of our Regulatory Compliance Unit, you will play a critical role in ensuring that our facilities comply with statutory, regulatory, and contractual obligations.The ideal candidate...

VetJobs is seeking a highly skilled Regulatory Compliance Specialist to join our team.OverviewThe Regulatory Compliance Specialist will work closely with various business units to ensure adherence to compliance management processes, including documentation, training, reporting, and follow-up. This role will support the Department Manager in Regulatory Intake...

About the PositionWe are seeking a highly motivated Regulatory Compliance Specialist to join our team. The ideal candidate will be responsible for ensuring compliance with laws and regulations, overseeing regulatory reporting and statements, and developing procedures that align with current laws and regulations.

Key Responsibilities:Oversee the processing of U4/U5/BD Amendments filings and disclosures.Act as a liaison with Recruiting and Human Capital Management for recruiting and new hire matters.Coordinate the scheduling of employee exams and training materials.Generate periodic supervisory reports and management reports.Requirements:At least 3 years of experience...

Job OverviewIn a dynamic environment, we are seeking an experienced Regulatory Compliance Specialist to join our team. The successful candidate will manage regulatory examinations across wholesale businesses, including operations, finance, reporting, and sales and trading.This role involves preparing personnel for regulator meetings and deep-dive reviews, as...

Job Overview: LaSante Health Center in Brooklyn is seeking a Regulatory Compliance Specialist to join our team. In this role, you will be responsible for ensuring that our documentation meets all relevant regulatory requirements. Your strong analytical and problem-solving skills will enable you to identify areas for improvement and implement changes to...

Job DescriptionWe are seeking a highly skilled Regulatory Compliance Specialist to join our team at Cardea Group. This is an exciting opportunity for a driven professional to work closely with our Chief Compliance Officer (Americas) and contribute to the success of our dynamic, collaborative team.About the Role:This position involves day-to-day management of...

Regulatory Compliance Officer Job SummaryWe are seeking a highly skilled Equities Regulatory Compliance Officer to join our team in New York. As a key member of our Americas Compliance team, you will be responsible for providing regulatory/compliance advice and support to our equity and equity derivatives trading and operational functions.This role is ideal...

We are seeking a highly skilled Senior Regulatory Compliance Specialist to join our team at Interparfums, Inc. The successful candidate will play a key role in ensuring the company's products comply with regulatory requirements globally.Job DescriptionThe Senior Regulatory Compliance Specialist will be responsible for leading the product submission process,...

At MetroPlus Health Plan, we're committed to empowering New Yorkers by uniting communities through care. We believe that health care is a right, not a privilege.MetroPlusHealth provides the highest quality healthcare services to residents of Bronx, Brooklyn, Manhattan, Queens and Staten Island through a comprehensive list of products. As a wholly-owned...

Unlock Your Career Potential at QuantexaWe are seeking an exceptional Regulatory Compliance Specialist to join our team. This is a unique opportunity to work with a leading data analytics company, driving growth and innovation while ensuring regulatory compliance.About the Role:Align Quantexa's practices with global regulatory standards, including NIST, CMMC...

iQE-q is a premier service provider to the alternative asset industry. our goal is to provide top-notch compliance solutions that cater to the unique needs of our clients.as a regulatory affairs specialist, you will play a critical role in helping our clients navigate the complexities of regulatory requirements. this position requires strong knowledge of...

Job OverviewIQ-EQ is a leading provider of services to the alternative asset industry, working closely with managers across multiple capacities. As a Compliance Officer and Regulatory Affairs Expert, you will join our firm's compliance team in assessing, developing, implementing, and testing compliance programs for clients in the alternative and traditional...

The Regulatory Exam Management Lead will play a pivotal role in the broker-dealer function of a leading bank, driving the expansion and enhancement of their compliance program.About the RoleAs part of our team at Michael Page, you will be responsible for managing regulatory examinations for wholesale businesses, covering key areas such as operations,...

We are seeking a highly skilled Regulatory Compliance Specialist to join our team in the wholesale business.As a key member of our compliance department, you will be responsible for managing regulatory examinations for wholesale businesses, covering operations, finance, regulatory reporting, and sales and trading.Your primary goal will be to prepare business...

Job Overview:We are seeking a Regulatory Compliance Specialist to join our team in New York. The successful candidate will be responsible for ensuring compliance with FRB regulatory reporting requirements and will have a strong understanding of corporate banking/treasury banking business knowledge.The ideal candidate will have the following skills and...

About the RoleWe are seeking a highly skilled Regulatory Compliance Specialist to join our team at BlackRock, Inc. This is an exciting opportunity to work in a fast-paced environment where you will have the chance to make a significant impact on our business.Job Summary: The successful candidate will be responsible for providing legal coverage of...

At IQ-EQ, we're seeking a highly skilled Compliance Specialist to join our team. This role is ideal for an individual with 6-8 years of experience in compliance, preferably working at a registered investment adviser, law firm, or investment consulting firm.The successful candidate will have a strong understanding of the IA Act of 1940 and the ICA of 1940....