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Within the established framework, gathers, assesses, and reviews key FDR MS entity information, including but not limited to contracts, policies and procedures, training documentation, and other critical information. Analyzes FDR MS entity activities, including monitoring data for risk identifica...

Manage restricted lists and lead information barrier-crossing processes. Experience in investment management with knowledge of information controls and trading regulations. We are looking for aCompliance Analyst to support our global private investments and tradingcompliance program, with a prima...

Communicating information to employees and research teams and directing them to the most appropriate sources. Acting as subject matter expert for research team and stakeholder questions and providing responsive business information on a reactive and proactive basis.

Create summary reports to Compliance and Business Management that detail compliance findings and corrective actions. Analyze marketing material, focusing on social media content, for compliance with regulatory standards including, SEC, FINRA and MSRB. Provide consultation to internal business par...

Be the advocate for information security risk management, engage with stakeholders, supports the identification of security risks and risk exceptions to treatment. Reporting to the Associate Director or Director, Security GRC, the Senior Analyst will assist in the oversight of the company’s Secur...

Experience: At least 5 years of experience in a financial, legal, operations, government accounting, government pricing, government contracts, audit, program / project management. Experience: At least 5 years of experience in a financial, legal, operations, government accounting, government prici...

Assist Compliance Business Analyst with ComplianceMaster rule-writing. Monitor compliance requirements for funds daily utilizing Charles River Developments ComplianceMaster system. Assist Compliance Business Analyst with troubleshooting system issues for Boston, Dublin, Luxembourg, and London.

Any of the following certifications: SHRM-CP (Society of Human Resource Management Certified Professional) or SHRM- SCP (Society of Human Resource Management Senior Certified Professional); PHR (Professional in Human Resources) or SPHR (Senior Professional in Human Resources); CPP (Certified Payr...

The Privacy and Compliance Analyst is responsible for supporting a variety of firm-wide projects and initiatives for the team. Serving as a privacy and compliance resource to teams and workgroups to continuously improve processes designed to mitigate risk of non-compliance;. Candidates should hav...

The Compliance Manager will be a member of the Legal, Compliance & Risk Group and will report to the WFD Compliance Officer. Compliance analyst, client platform Compliance. The Sales and Marketing Compliance Analyst will support Wellington Management’s sales and marketing compliance program, with...

Compliance Analyst will provide support executioning the Bank’s compliance management program, including risk assessments, compliance procedures, issues management, complaint administration, support of the third party risk management procedures and/or the Community Reinvestment Act (CRA). This po...

We embrace and are excited by this diversity, believing that only through authenticity, inclusivity, high standards of respect and trust, and leading with humility will we be able to achieve our goals. Experience (8+ years) in Security GRC, IT security, or a related field, with in-depth working k...

This position builds consultative, partnership relationships with business owners to drive risk mitigation, process gaps, maturity and internal controls management. Hands on knowledge of reviewing common IT & Engineering technologies including OS, databases, network infrastructure, application se...

We are looking for a Compliance Risk Testing Analyst – Assistant Vice President, to work with a team of professionals to develop and execute regulatory testing and controls testing to provide reasonable assurance that State Street is complying with applicable laws, regulations, and internal polic...

We are looking for aCompliance Analyst to support our global private investments and tradingcompliance program, with a primary focus on information controls. In this role,the Compliance Analyst will work closely with internal teams to addressescalated issues, aid in the implementation of IT solut...

Researching, analyzing, and reporting on various blockchain tech stacks in relation to regulatory developments and industry innovations. Working knowledge of US/global financial regulatorypliance requirements, especially as they relate to virtual assets/blockchain.

The Compliance Analyst/Manager will support all aspects of HighVista compliance program with a primary focus on the relationship management and business development process. Reporting directly to the CCO, the Compliance Analyst/Manager will work with members of the HighVista Legal, Relationship M...

Assist in performing and/or supervising a broad range of compliance tasks conducted by the Office of the Chief Compliance Officer (“CCO’s Office”) in its mission to affect compliance with federal securities laws applicable to the John Hancock Group of Funds Complex, sub-advisers and service pr

The Regulatory Compliance Analyst interacts with WEX Payments management and employees, third-party partners, and regulators to provide quality support, including compliance interpretations and clarifications, problem-solving, and compliance project execution. The Regulatory Compliance Analyst wi...

The Compliance Manager will be a member of the Legal, Compliance & Risk Group and will report to the WFD Compliance Officer. Compliance analyst, client platform Compliance. The Sales and Marketing Compliance Analyst will support Wellington Management’s sales and marketing compliance program, with...

This role will create and provide AML, financial crimes and watchlist compliance guidance and training to business partners and insurance agents pertaining to various compliance matters including money laundering, financial crimes, elder abuse, sales practice activities and compliance risk monito...

At GHD, we don’t just believe in the power of commitment, we live and breathe it every day.We’re looking for an experienced .Senior Financial Analyst-US Federal Contracting Compliance.If you are interested in taking your career to the next level, and making a big impact, then this position is f

Are you looking to build foundational skills and knowledge in financial compliance? We are seeking a Compliance Analyst with a focus on the compliance review of sales and marketing communications. The Compliance Analyst will ensure that communications satisfy regulatory requirements, lead departm...

Sound knowledge of Bank products, systems, policies and procedures. Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you re...