Jobs: bsaaml compliance officer

Job SummaryThe Senior Quality Compliance Engineer will work with the Senior Manager of Quality Compliance to ensure Terumo Medical Corporation is achieving compliance to all global regulations and external standards for medical devices, combination medical device/pharmaceutical, and software products through collaborative partnerships and out-reach with...

Compliance Officer:The Compliance Officer is responsible for various compliance areas including training, monitoring reviews, policy and procedures, and product development with each department of the bank. The Compliance Officer helps ensure the Bank maintains a strong and effective compliance management system by assessing the overall adherence to bank...

Job DescriptionJob DescriptionLooking for a Healthcare Compliance Professional to service Southern Connecticut, New Jersey, Eastern PA and the five boroughs of NYThe Compliance Professional is responsible for providing on-site and off-site consulting and educational support for OSHA, HIPAA, Corporate Compliance and other regulatory healthcare compliance...

Compliance Consultancy Director – Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required Ref: 4015G3 $200K - $220K + Bonus + Benefits   New York City Our Client, a growing and dynamic regulatory consulting firm based in New York and London, are looking to hire an experienced compliance professional to join their New York Regulatory...

Compliance Consultancy Director – Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required Ref: 4015G3 $200K - $220K + Bonus + Benefits   New York City Our Client, a growing and dynamic regulatory consulting firm based in New York and London, are looking to hire an experienced compliance professional to join their New York Regulatory...

Job DescriptionJob DescriptionCompliance OfficerPosition Summary: The Compliance Officer’s primary responsibility is to ensure that requirements of regulatory laws, bank secrecy act and community reinvestment act are being implemented. The Compliance officer will act as a liaison between regulatory agencies and the various departments within the...

DescriptionPublicly traded Fintech is looking for a Compliance Officer to join their compliance team in Maryland US, responsible for ensuring that the operations adhere to the laws that regulate the business.The Compliance Officer- North America will report to the Director of Global Compliance.IN THIS POSITION YOU WILL:Ensure that the business has effective...

A Menlo Park Based Hedge Fund is seeking a Compliance Analyst with experience working for a registered investment adviser to join our compliance team. This role will report to the General Counsel / Chief Compliance Officer (GC/CCO). Develop and maintain an in-depth understanding of the business areas, its products and supporting functions ...

Compliance Analyst Responsibilities: Manage day-to-day Compliance operations for the US office. Assist with Compliance Monitoring for the Central Monitoring team in London. Provide guidance on pre and post-trade Investment Compliance queries. Support US and Canadian regulatory filings. Collaborate with the broader Compliance team on various Compliance...

LoadingSorry to interruptCSS Error Compliance Officer, Trading Compliance PostedPosted 30 Days Ago CodeREQ5643 Balyasny Asset Management is seeking an experienced Compliance Officer for its New York office. The employee will report to a Senior Compliance Officer and will work closely with both the Compliance and Legal Departments. The primary focus...

Responsibilities:Risk and ComplianceConduct audits and testing of broker/dealer branch offices for their compliance of written policies and proceduresProvide timely written reports to document findings and corrective actions to branch officesTrack findings and delinquencies discovered during audits to discover trends and proactively suggest best practices or...

Responsibilities:Risk and ComplianceConduct audits and testing of broker/dealer branch offices for their compliance of written policies and proceduresProvide timely written reports to document findings and corrective actions to branch officesTrack findings and delinquencies discovered during audits to discover trends and proactively suggest best practices or...

JOB DESCRIPTIONABOUT THE FIRMSepio Capital, LP (“Sepio”) is a multifamily office and institutional investment advisor registered with the SEC. At Sepio, our mission is to protect our clients’ assets, fortify their legacies, and guard what matters most to them. We accomplish this first and foremost by having a deep understanding of their goals and...

Compliance Officer (New York, NY): Our client, a $2B+ private equity fund is currently looking to fill a newly created position as their Compliance Officer. Supporting the Chief Compliance Officer and Associate General Counsel, this position offers the chance to engage in various areas such as compliance, governance, marketing, ESG, and deal-related affairs....

Compliance Officer (New York, NY): Our client, a $2B+ private equity fund is currently looking to fill a newly created position as their Compliance Officer. Supporting the Chief Compliance Officer and Associate General Counsel, this position offers the chance to engage in various areas such as compliance, governance, marketing, ESG, and deal-related affairs....

Job DescriptionJob DescriptionHIGH LEVEL OVERVIEWNewly created position to manage the Export Compliance Program for this growing manufacturing company. 100% in office in the Greenville, SC area.EXPECTATIONSManage the Export Compliance program with an emphasis on ATF complianceFile and manage ATF reports and export licensesAssist with updating policies and...

The Group: Morningstar's Compliance team supports Morningstar's global business entities, primarily focusing on those registered with and governed by regulatory authorities. Our compliance professionals help each Morningstar business entity adhere to the rules and regulations of the local regulatory authorities.The Role: Morningstar's Compliance team is...

This position provides an excellent opportunity for a self-motivated, hands-on individual with basic knowledge of the Investment Industry to broadly expand that knowledge as an integral part of a 4-person compliance department. This position will be involved in the daily review of control reports and other forms of oversight to monitor and ensure the...

Our dynamic and diversified firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals.Our talented teams working around the globe bring expertise that's both broad and unique.Global Regulatory Compliance, Mutual Funds is a five-person team responsible for overseeing the compliance...

Job DescriptionJob DescriptionHIGH LEVEL OVERVIEWNewly created position with growth opportunity in the aerospace industry.Report to the Director, Trade Compliance. 100% in Office setting in the Atlanta area.EXPECTATIONSProvide export compliance subject matter expertiseServe as an Empowered OfficialImplement proceduresConduct training and work with other...