Manager - Regulatory Compliance
3 months ago
Atlantic City
· Directs and monitors compliance activities for assigned jurisdictions, to include all components required under the Corporate Compliance Program.
· Ensures New Jersey Division of Gaming Enforcement requirements are fully complied with and liaises with TRWH’s counsel in this regard.
· Owns property Anti Money Laundering program and all submission requirements.
· Develops and manages effective programs for recruiting, retaining, training, and recognizing professional staff that provides career pathing and development.
· Performs other Corporate Compliance functions, as requested.
· Gathers and analyzes variable research related to, but not limited to, Compliance Program components, jurisdictional requirements, enterprise initiatives, and any new jurisdictions the Company is contemplating entering.
· Monitors and facilitates standardization of enterprise compliance functions, and ensures operational procedures are in compliance with Corporate Brand Standards. Reviews and provides guidance to property compliance for internal control submissions.
· Proactively builds and maintains relationships with gaming regulatory agencies and coordinates communication channels with regulatory agencies on corporate initiatives. Attends gaming regulatory meetings when any agenda items pertain to the Company. (Travel as needed)
· Reviews and offers input to property compliance staff related to state gaming revenue and compliance audits. Disseminates results and corrective actions related to state gaming audits to appropriate parties.
· Reviews all internal control submissions and associated equipment submissions, where applicable. Provides recommendation and approvals to the property compliance staff on submissions.
· Researches regulatory requirements for non-gaming system initiative or enhancements.
· Reviews regulatory submissions for enterprise-wide promotions or events, where necessary. Ensures consistencies in submissions across the enterprise.
· Provides overview and support to property compliance staff related to the standardization of Title 31 reporting requirements. (Currency Transaction Reporting and Suspicious Activity Reporting (Casinos))
· Performs other tasks as assigned, to include, but not limited to:
o Reviews and provides input related to external audits (Federal and non-gaming state agencies).
o Disseminates results and corrective actions related to external audits (Federal and non-gaming state agencies).
o Coordinates and responds to subpoenas.
Qualifications:
· Prior experience with New Jersey Division of Gaming Enforcement (DGE).
· Prior experience with oversight of AML programs within a gaming facility.
· Highly articulate with excellent presentation communication skills.
· Previous experience in a casino environment with high limit gaming, significant marker operations and luxury amenities.
· Previous experience working in a resort style setting.
Supervisory Responsibility:
This position is directly responsible for leading compliance staff of the division and indirectly responsible to ensure all employees within the division comply with requirements.
-
Regulatory Compliance and Quality Manager
1 week ago
Forrest City, Arkansas, United States Johnson Controls Full timeJob SummaryJohnson Controls is seeking a seasoned professional to oversee the Quality and Product Regulatory Compliance operations for our diverse portfolio of control products used in Building Automation, HVAC, and Commercial Refrigeration systems. As a key member of our team, you will be responsible for managing a small team that collaborates closely with...
-
Regulatory Compliance Manager
4 weeks ago
new york city, United States Mindlance Full timeJob Title: Regulatory Reporting Analyst (VP) Location: New York, NY (Hybrid)Duration: 6+ Months (Possible extension/Conversion)Summary:Must have Strong Microsoft skills, organizational skills, and communication skills are required. Regulatory/Internal Audit experience is not required, but would be very helpful.Serve as a member of the Services Regulatory...
-
Regulatory Compliance Specialist
4 weeks ago
Jersey City, New Jersey, United States Jefferies Full timeJob SummaryWe are seeking a highly skilled Regulatory Compliance Specialist to join our team at Jefferies. As a key member of our Regulatory Group, you will be responsible for assisting in the administration of our branch inspection program, participating in industry regulatory initiatives, and assisting in other tasks performed by our Regulatory team.Key...
-
Marketing Compliance Principal
1 month ago
Jersey City, New Jersey, United States $50B+ Asset Manager Full timeFirm OverviewA leading publicly traded alternative asset manager with over $50B in assets under management across various business lines. The firm is recognized for its exceptional culture and growth, with over 600 employees in 10 offices globally.Role OverviewThis newly created role reports to the Managing Director in Marketing Distribution and focuses on...
-
Principal of Marketing Compliance
4 weeks ago
Jersey City, New Jersey, United States $50B+ Asset Manager Full timeFirm OverviewA leading publicly traded alternative asset manager with over $50B in AUM across various business lines. The firm is known for its excellent culture and growth, with over 600 employees in 10 offices globally.Role SummaryReporting to the Managing Director in Marketing Distribution, this newly created role focuses on Marketing Review Compliance...
-
Principal of Marketing Compliance
1 month ago
Jersey City, United States $50B+ Asset Manager Full timeFirm Overview:A leading publicly traded alternative asset manager with over $50B in AUM across various business lines. The firm is known for its excellent culture and growth, with over 600 employees in 10 offices globally.Role Overview:Reporting to the Managing Director in Marketing Distribution, this newly created role focuses on Marketing Review Compliance...
-
Regulatory Compliance Specialist
7 days ago
Jersey City, New Jersey, United States Madison-Davis, LLC Full timeRegulatory Reporting ManagerMadison-Davis, LLC is seeking a highly experienced Regulatory Reporting Manager to oversee daily and monthly regulatory filings, ensuring compliance with all swap dealer financial regulatory requirements. The ideal candidate will have 8+ years of experience with CFTC Swap Dealer Regulatory Reporting and a deep understanding of...
-
Regulatory Compliance Specialist
1 week ago
Jersey City, New Jersey, United States Jefferies Full timeJob SummaryThis is a Hybrid role that requires a strong understanding of financial services regulations and compliance. The successful candidate will be a member of the Firm's Regulatory Group, focusing on branch inspections, regulatory exams, and ad-hoc tasks.Key ResponsibilitiesConduct branch and non-branch location inspections, both in-person and...
-
Vice President of Marketing Compliance
1 month ago
Jersey City, New Jersey, United States $50B+ Alternative Asset Manager Full time{"h1": "Marketing Compliance Expert Wanted", "p": "A leading global alternative asset manager seeks a seasoned Marketing Compliance professional to join their team in Jersey City, NJ.", "ul": [{"li": "Review and approve marketing materials, including RFPs, DDQs, and sales collateral"}, {"li": "Collaborate with sales teams to ensure compliance with regulatory...
-
Vice President of Marketing Compliance
4 weeks ago
Jersey City, New Jersey, United States $50B+ Alternative Asset Manager Full timeMarketing Compliance Expert WantedWe are a leading $50B+ Alternative Asset Manager seeking a seasoned Marketing Compliance expert to join our team.Key Responsibilities:Review and approve marketing materials, including RFPs, DDQs, and sales collateral, to ensure compliance with regulatory requirements.Collaborate with sales teams to ensure marketing materials...
-
Senior Marketing Compliance Officer
2 weeks ago
Jersey City, New Jersey, United States $50B+ Alternative Asset Manager Full timeMarketing Compliance Expert Sought by $50B+ Alternative Asset ManagerWe are seeking a highly skilled Marketing Compliance expert to join our team as a key member of the Marketing Review team.The ideal candidate will have a strong background in marketing review compliance for investment advisors, with a proven track record of ensuring compliance with...
-
Regulatory Compliance Specialist
2 months ago
Kansas City, Missouri, United States Russell Stover Chocolates Full timeAbout the RoleAt Russell Stover Chocolates, we are seeking a highly skilled Regulatory Compliance Specialist to join our team. As a key member of our regulatory team, you will be responsible for managing all aspects of the label creation, review, and approval process using SAP, Genesis, and project management tools.Key ResponsibilitiesCreate labels using...
-
Regulatory Compliance Specialist
6 days ago
Jersey City, New Jersey, United States Jefferies Full timeJob DescriptionJefferies is seeking a highly skilled Regulatory Compliance Specialist to join its Regulatory Group. The successful candidate will be responsible for assisting in the administration of the Firm's branch inspection program, including conducting inspections, preparing reports, and participating in industry regulatory initiatives.Key...
-
Regulatory Compliance Associate
3 weeks ago
Jersey City, New Jersey, United States RBC Capital Markets, LLC Full timePosition Overview What is the role? The Regulatory Compliance team at RBC Capital Markets, LLC is dedicated to ensuring precise and timely reporting to regulatory bodies, including exchanges and self-regulatory organizations. This position emphasizes operational execution and strategic planning within the regulatory domain. Key responsibilities encompass...
-
Regulatory Compliance Specialist
3 weeks ago
Kansas City, Missouri, United States Russell Stover Chocolates Full timeAbout the RoleWe are seeking a highly skilled Regulatory Specialist to join our team at Russell Stover Chocolates. As a key member of our food safety and compliance team, you will be responsible for managing all aspects of label creation, review, and approval processes using SAP, Genesis, and project management tools.Key ResponsibilitiesCreate labels using...
-
Regulatory Compliance Specialist
2 weeks ago
Kansas City, Missouri, United States Russell Stover Chocolates Full timeAbout the RoleWe are seeking a highly skilled Regulatory Specialist to join our team at Russell Stover Chocolates. As a key member of our food safety and regulatory team, you will be responsible for managing all aspects of label creation, review, and approval processes using SAP, Genesis, and project management tools.Key ResponsibilitiesCreate labels using...
-
Regulatory Compliance Specialist
3 weeks ago
Kansas City, Missouri, United States Russell Stover Chocolates Full timeRegulatory Specialist Job DescriptionAt Russell Stover Chocolates, we're passionate about creating delicious treats that bring joy to our customers. As a Regulatory Specialist, you'll play a critical role in ensuring our products meet the highest standards of quality and safety.Key Responsibilities:Create labels using current FDA Regulatory and CFR guidance...
-
Granite City, Illinois, United States Gateway Regional Medical Center Full timeJob Title: Accreditation and Regulatory SpecialistWe are seeking a highly skilled Accreditation and Regulatory Specialist to join our team at Gateway Regional Medical Center. As a key member of our organization, you will play a critical role in ensuring our compliance with industry standards, regulations, and accreditation requirements.Key...
-
Regulatory Compliance Officer
4 weeks ago
Jersey City, New Jersey, United States SMBC Full timeJob Title: Regulatory OfficerSMBC Group is a leading global financial institution with a rich history spanning over 400 years. Headquartered in Tokyo, we offer a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. Our global presence extends to nearly 40 countries, with over 130 offices and 80,000...
-
Granite City, Illinois, United States Gateway Regional Medical Center Full timeJob Title: Accreditation and Regulatory SpecialistWe are seeking a highly skilled Accreditation and Regulatory Specialist to join our team at Gateway Regional Medical Center. As a key member of our organization, you will play a critical role in ensuring our compliance with industry standards, regulations, and accreditation requirements.Key...
