- City National Bank (Charlotte, NC)
- …and current compliance industry standards and practices. Responsible for the review and enhancement of the Bank's BSA Program policies and procedures, including ... Assists the BSA Officer in the ongoing and annual review and enhancement of the Bank's BSA Program to...to help ensure that policies and procedures are in compliance with legal and regulatory requirements and… more
- Wellington (Boston, MA)
- …the Global Compliance Training Plan, Global Regulatory Risk Assessment, NFA compliance programs, RFP/RFI responses etc. + Review of regulatory rule ... necessary, exam management and engagement with business stakeholders on regulatory issues and business change. The Compliance ...encourage you to apply and welcome a chance to review your background. We are dedicated to building and… more
- PNC (Birmingham, AL)
- …mitigation to senior leadership. Uses knowledge on current laws, rules, and other regulatory requirements and drafts or assesses Compliance Manuals, Front Office ... and inquiries, including the coordination of interviews and information requests from regulatory agencies. + Directs the compliance monitoring program and… more
- Aegon Asset Management (Denver, CO)
- Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We ... + Lead training initiatives including creating and delivering employee training regarding regulatory compliance requirements. + Assist the CCO and Deputy CCO… more
- ADP (Florham Park, NJ)
- …management of registration data, and coordination with internal teams, external vendors, and regulatory authorities to maintain compliance with FINRA and state ... oversight. + Review all brokerage account notifications submitted through the compliance platform by associates. + Obtain approval from the Chief Compliance … more
- ManpowerGroup (Milwaukee, WI)
- …wide range of corporate matters, including securities law, M&A, commercial contracts, and regulatory compliance . * Draft, review , and negotiate complex ... the Finance and Investor Relations teams to support shareholder engagement initiatives. Regulatory Compliance : * Oversee/Lead all SEC matters for the… more
- Wellington (Boston, MA)
- …those of our clients. **About the Role** Position overview The Senior Compliance Analyst will support Wellington Management's global investment & trading ... compliance program, focusing primarily on compliance support...material non-public information, market manipulation, conflicts of interest, and regulatory change. As the firm expands the asset classes,… more
- Aegon Asset Management (Cedar Rapids, IA)
- Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We ... and fiduciary administration affiliates regarding best practices and remediation of regulatory compliance concerns. + Contribute to the development of… more
- American Water (Honolulu, HI)
- …wastewater, water quality, and environmental compliance are adhered to. Prepare, review , and submit necessary regulatory reports to governing bodies. Works ... Provides technical knowledge and guidance on wastewater treatment, permitting, regulatory compliance reporting and corrective actions. Responsible for… more
- Wellington (New York, NY)
- …appropriate controls in alignment with the firm's policies and procedures to ensure regulatory compliance and information integrity + Collaborate with EMEA and ... team documentation practices + Participate in developing and conducting regulatory training + Support the firm's compliance ...encourage you to apply and welcome a chance to review your background. We are dedicated to building and… more