Regulatory Compliance Manager

About the Role As an Associate Director of Compliance at IQ-EQ, you will play a critical role in supporting our investment adviser clients by providing regulatory compliance services. You will work closely with our experienced team of industry veterans to ensure that client compliance programs are up-to-date and meet the requirements of SEC Rules 206(4)-7...

As a Chief Compliance Officer at DriveWealth, you'll play a crucial role in ensuring the company's regulatory compliance. With a strong background in regulatory and self-regulatory agencies' rules and regulations, you'll lead and manage the broker-dealer compliance team, develop and implement compliance programs, and monitor regulatory changes.You'll be...

At LevelUP HCS, we are seeking an experienced Regulatory Compliance Manager to join our team. This is a challenging role that requires strong leadership and technical skills.The estimated salary for this position is around $120,000 - $180,000 per year, depending on experience and qualifications.About the RoleWe are looking for a highly skilled professional...

Company OverviewSia Partners is a leading next-generation management consulting firm that offers a unique blend of AI and design capabilities to deliver superior value to clients. With a global footprint in 19 countries, the company has achieved USD 420 million in turnover for the current fiscal year.Job DescriptionWe are seeking an experienced Management...

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...

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...

Job DescriptionWe are seeking a highly skilled Regulatory Compliance Expert to join our team. In this role, you will work closely with clients to develop and implement comprehensive regulatory compliance strategies aligned with business objectives and regulatory requirements.The ideal candidate will have at least 7 years of experience in regulatory...

Company OverviewRSM US LLP is a leading provider of professional services to the middle market globally. Our purpose is to empower our clients and people to realize their full potential.Job DescriptionWe are seeking a strong regulatory compliance resource to join our fast-growing Risk Advisory Services practice at the Manager level. The role will lead and...

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...

Job Title: Regulatory Compliance ProfessionalCompany Profile: Dominari Securities LLC is a New York-based boutique broker-dealer and wealth management firm seeking a talented Regulatory Compliance Professional to join their team. This role will involve working closely with the Chief Compliance Officer and other key departments to ensure compliance with...

Your Role in Healthcare">In this role, you will be responsible for leading the regulatory implementations for NY State-Sponsored Programs and CMS Medicare lines of business.You will manage the full project cycle of implementations from beginning to end, analyzing complex product benefit configuration and rate implementation projects and building a range of...

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...

As a Regulatory Compliance Expert at Michael Page, you will play a key role in managing regulatory examinations for wholesale businesses. With 5-7 years of related experience and a Bachelor's degree or equivalent progressive work experience, you will be responsible for analyzing and summarizing documentation and information in response to regulatory...

Job DescriptionThe Program Management Director, Regulatory Compliance oversees and ensures the effective operation of programs while maintaining compliance with regulatory requirements. Key responsibilities include managing staff, coordinating client services, and ensuring program goals are met efficiently.This position involves fostering collaboration with...

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 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...

Company OverviewSia Partners is a cutting-edge management consulting firm that offers a unique blend of AI and design capabilities to deliver superior value to our clients.We have a global footprint with over 3,000 consultants across 19 countries, generating USD 420 million in turnover for the current fiscal year. Our expertise spans more than 30 sectors and...

Job SummaryWe are seeking an experienced Senior VP Project Management to lead our compliance function. The ideal candidate will have a strong background in securities compliance, operations, finance, and regulatory reporting.$120,000 - $180,000 per annum

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...

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...