- CVS Health (Lodi, CA)
- …will:** + Provide supervision for the dispensing pharmacy + Monitor industry, regulatory and compliance industry, regulatory and compliance developments (eg, ... state Board of Pharmacy, DEA, FDA, etc.) for pending regulatory changes and partner with Division Compliance Officer and...technician registrations for current staff, as required by state law . + Respond to the board regarding any warning… more
- City National Bank (Newark, DE)
- …Preferred. * Regulatory or Compliance Audit experience with a regulated financial institution is preferred. * Thorough knowledge of related state and Federal ... are in compliance with company policies and procedures and state/federal regulatory guidelines. Assists in the maintenance of Quality Control (QC) program.… more
- Meta (Chicago, IL)
- …standards in executing projects and apply "big picture" strategic thinking and regulatory knowledge to screening control evaluation and scoping out enhancements. 4. ... with restricted party screening, geofencing, and export controls, proactively addressing regulatory risks before product deployment. 5. Understand a wide spectrum of… more
- Truist (Richmond, VA)
- …review the following job description:** Purpose: Mitigate risk for the firm from financial , reputation and regulatory items by ensuring that the advisors, OSJs ... suitability and required documentation has been met. Focus on meeting all regulatory requirements pertaining to transaction review. Perform a holistic view of… more
- Capital One (Richmond, VA)
- …domestically and internationally and requires laser focus on compliance, regulatory & process adherence. Successful team members demonstrate competencies in ... ensure all relevant policies and procedures are aligned with regulatory guidelines and Capital One standards. **Responsibilities:** + Manage...of experience as paralegal or experience in legal or law firm environment + 2 years of experience in… more
- Wells Fargo (Charlotte, NC)
- …(SIE) exam co-requisite is required. + Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) may be required ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively… more
- MUFG (Los Angeles, CA)
- …(b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association ... heard and your actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across… more
- JPMorgan Chase (Jersey City, NJ)
- …Bank's financial controls, including assessment of integrity of financial statements and compliance with various external/ regulatory reporting requirements. ... independence. + Stay up to date on evolving industry, accounting, and regulatory developments impacting CIB Finance, and take initiative to seek out opportunities… more
- MUFG (Irving, TX)
- …or data technology strategy. + Previous work with multinational corporations or regulatory bodies. + Understanding of Financial Crimes Compliance & KYC, ... not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the...that is protected under applicable federal, state, or local law . At MUFG, our colleagues are our greatest assets.… more
- Wells Fargo (Charlotte, NC)
- …(SIE) exam co-requisite is required + Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) may be required ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively… more