Are you a business? Hire ethics and compliance candidates in Corona, NY
Responsibilities * Assist with preparing various regulatory filings including Form ADV * Assist with updates to Compliance Manual, Code of Ethics and other policies * Assist in conflicts, MNPI and ...
... Ethics requirements • Coordinate and maintain Legal and Compliance calendar • Assist with forensic testing for Annual Compliance Review • Prepare materials for Committee meetings (e.g ...
... Ethics, Testing, Monitoring, Training, etc.), * The person will be in charge of overseeing and enhancing various Compliance programs. In particular, the Monitoring and Training programs, and will ...
... compliance talent. They are ideally targeting anywhere from 3-8 years of experience. We recruit ... Code of ethics (gifts & entertainment, political contributions, etc.) * Employee trade & e-comm ...
Ethics Committee & Service Facilitation: Chair the Ethics Committee, facilitate related services for patients and staff, ensuring confidentiality and privacy. * Compliance: Ensure compliance with ...
With the assistance of supervisory judge advocate mentors, new attorneys immediately begin practicing law in the fields of criminal litigation, institutional compliance, government ethics ...
Responding to internal requests, including compliance, new activity & product committees, new ... Strong work ethics. * Strong English written and oral communication skills * Lucid and concise ...
Responsible for company compliance with all state and Federal laws, including The Department of ... Ability to lead by example, demonstrating professionalism, ethics and integrity * Strong ...
... ensure compliance Ensure that all work is approached with rigorous execution and the highest standards of ethics, aligned with Trinity's values Assume other responsibilities and take on special ...
Looking for Candidates with strong ethics and conflicts experience to oversee analysts and work ... Advise attorneys and staff on ethical obligations and compliance with Rules of Professional Conduct ...
... Ethics, Nursing Scope and Standards of Practice and Nursing's Social Policy Statement. The ... The position is responsible to uphold compliance with Montefiore Medical Center's policies ...
Maintain accurate records of therapy sessions, ensuring compliance with Volunteers of America ... Uphold the Occupational Therapy Code of Ethics and Standards of Practice, ensuring the highest ...
Looking for Candidates with strong ethics and conflicts experience to assist on a large scale ... compliance with firm policies and legal standards. * Conducts corporate research using both ...
The candidate should understand technology functions and organizations and possess strong analytical, planning, strategic thinking, organizational, and communication skills. Lead Information Security Standard and risk-related projects and programs using Agile methodologies by providing strategic ...
Support the continuous improvement of standard form agreements and legal processes and assist in the development and implementation of company policies and procedures. The lines of business include but are not limited to: Commercial General Liability (including primary, umbrella and excess), Comm...
Proficient interpersonal and social skills* Flexible and adaptable in a fast paced, changing environment* Strong organizational, analytical and time management skillsPhysical Requirements and Working Conditions* Bus yard/office while traveling* Travel required, up to 50%DisclaimerNothing in this ...
As Chief Compliance Officer, you will lead and manage the broker-dealer compliance team, oversee the development and implementation of compliance programs, monitor regulatory changes and provide guidance to cross-functional teams in a fast-paced environment. Strong understanding of regulatory and...
Every employee brings inspiration and imagination to our constantly evolving and expanding business. Prepare and present compelling visual metric reporting with an emphasis on details and accuracy for Sales & Senior leadership on a defined cadence. Employee Assistance Program (EAP) at no cost – s...
I am in search of a Compliance Professional with a FINRA/Financial Securities Compliance background to evaluate my client and their technology and processes. The position would pay $200/hr and the initial project would be 30-90 days with the potential for extension and/or a Chief Compliance Offic...
Communicates with and presents to senior and executive management, both orally and in written memoranda and presentations, analyzes issues and/or recommends DFS action on issues identified;. Through engagement, data-driven regulation and policy, and operational excellence, the Department and its ...
Coordinate advice and support across the HBUS Special Credits Unit (“SCU”) for Global Banking, Wholesale Lending, Global Payment Solutions, Global Trade Receivables Finance, Wealth and Private Banking, Markets and affiliates with respect to loan workouts, restructurings, bankruptcies and collect
Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day compliance advice to the Investment Banking & Research departments, compliance approvals for research publications, public appearances and non-deal roadshows. Compliance oversight of the Global Research...
