- Vanguard (Malvern, PA)
- …The successful candidate will lead a dedicated team, oversee the financial crimes compliance program, and ensure adherence to regulatory requirements. Serves as ... partners. + Regulatory Engagement: Serve as the primary liaison with regulatory bodies regarding Financial Crime compliance , ensuring timely and accurate… more
- Marex (New York, NY)
- …Dealer support functions such as Trade Reporting, Operations, and Finance. + Ensuring compliance with the company's regulatory requirements under the SEC, FINRA, ... The Company may require you to carry out other duties from time to time. Competencies, Skills and Experience:...Ability to make, support and defend difficult and complex regulatory / compliance decisions in a fast-paced and high-pressured… more
- WIN Waste Innovations (Stamford, CT)
- …reporting of non- compliance events to federal, state, county, or local regulatory agencies. Assists corporate personnel as directed in ensuring that company and ... issues. Periodically meet with Operations Leadersto discuss hot/open environmental compliance issues, requests for information, regulatory interpretations,… more
- Robert Half Office Team (Houston, TX)
- …and implementation of management plans, review monitoring reports, and ensure regulatory compliance by reporting to relevant agencies. With ever-evolving ... program budget adherence. Requirements Qualifications: + Education: Bachelor's degree in regulatory compliance , ethics, or a closely related field. Equivalent… more
- KPH Healthcare Services, Inc. (East Syracuse, NY)
- **Overview** **Scope of Responsibilities:** Responsible for all regulatory , compliance , and accreditation matters within HealthDirect. Oversees the development, ... internal and external legal resources as needed to resolve compliance issues. + Keeps apprised of new regulatory...consultant pharmacists. + Responsible for completing all mandatory and regulatory training programs. + Perform other duties … more
- Prime Therapeutics (Boise, ID)
- … Compliance Officer's compliance governance responsibilities + Represents Compliance Regulatory Intelligence and Change Management teams in internal and ... of the Regulatory Intelligence communication strategy. This position acts as Compliance and regulatory liaison for all lines of business with internal… more
- TD Bank (New York, NY)
- …and compliance stakeholders on complex conflict scenarios. + Monitor regulatory developments and industry best practices to ensure the firm's conflict management ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is committed to providing fair… more
- Fairfield University (Fairfield, CT)
- …a vital role in upholding Fairfield University's commitment to data integrity, regulatory compliance , and institutional transparency. **Areas of Knowledge and ... reports (eg, IPEDS, state education reports, accreditation data submissions) in compliance with deadlines and regulatory requirements. + Office of Institutional… more
- TD Bank (Mount Laurel, NJ)
- …ongoing monitoring, policy reviews, communications, and complaints management to ensure regulatory compliance and operational excellence. The ideal candidate ... + Proactively advises the business of new and changed Compliance regulatory and/or policy changes + Formulates...intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities… more
- MUFG (New York, NY)
- …more details. Our ideal candidate will possess a strong understanding of regulatory compliance , risk management, and business operations. This role requires ... analytical, and able to effectively communicate with various stakeholders. + Assess regulatory / compliance controls related to areas of coverage. This would… more