- Prime Healthcare (Riverdale, GA)
- …to facility. #LI-DF2 Connect With Us! (https://careers-primehealthcare.icims.com/jobs/195243/ risk -and- compliance - officer - registered ... please contact Human Resources. Know Your Rights: https://www.eeoc.gov/sites/default/files/2022-10/EEOC\_KnowYourRights\_screen\_reader\_10\_20.pdf Responsibilities Risk and Compliance Officer : Responsible… more
- US Bank (Denver, CO)
- …at-all from Day One. **Job Description** **Job Description Summary** Environmental and Seismic Risk Officer position within the US Bank Real Estate Technical ... seismic risks as appropriate. + Review environmental and seismic risk reports for technical accuracy, compliance with...+ Having worked for a lender as an environmental risk officer . + Existing participation in the… more
- SMBC (New York, NY)
- …the management of compliance risk . Advisory is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... the New Product, Underwriting, Risk Management, Compliance , and Training committees. The...regulators such as FINRA, NFA, CFTC and FRB. The Compliance Officer role may manage a coverage… more
- SMBC (New York, NY)
- …to its employees. **Role Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of ... registered investment adviser, ensuring activities are conducted in compliance with applicable regulatory requirements. This includes global policies, standards,… more
- Nuvance Health (Danbury, CT)
- *Description* *Summary:* *Associate Compliance Officer ("ACO"), Clinical Audit, Quality and Revenue Cycle* Consistent with legal requirements and compliance ... Nuvance Health, ensuring accurate quality processes and supporting SACO and Senior Compliance Officer ("SCO") in evaluating adequacy and accuracy of clinical… more
- Aegon Asset Management (Denver, CO)
- …. Job Description Summary The successful candidate will serve as the Chief Compliance Officer (CCO) responsible for developing, administering and monitoring the ... Investment Company Act of 1940 ("`40 Act"). + Conduct compliance and risk assessments and manage the...of Directors and executive officers. + Experience working with registered investment companies and registered investment advisers… more
- TD Bank (New York, NY)
- …order to support its strong risk culture and strategic approach to managing regulatory compliance risk . This is a newly created role on the TD Securities US ... + 3 or more years of experience with a registered US broker dealer or regulator. + Knowledge of...to regulatory/ compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk .… more
- SMBC (Jersey City, NJ)
- …of large and complex financial institutions, and their functions, including Risk Management, Compliance , Legal and Operations. + Strong organization ... competitive portfolio of benefits to its employees. **Role Description** The Regulatory Officer works with the Regulatory Change Management Team as a Subject Matter… more
- Trexquant Investment (Stamford, CT)
- …professionals pushes the boundaries of quantitative finance. We are seeking a Chief Compliance Officer (CCO) to join our senior leadership team, overseeing ... where technology, finance, and regulatory oversight converge. Responsibilities + Lead compliance oversight for our SEC- registered investment adviser for private… more
- Arena Investors LP (Jacksonville, FL)
- …others won't. Arena is looking to expand the team through the addition of a senior Compliance Officer . In this role, this individual will work closely with the ... focusing on accuracy and efficiency. . 7 - 10 years of regulatory compliance experience at a SEC- registered investment adviser (primarily private credit… more