Regulatory compliance jobs in Ozone Park, NYCreate job alerts

Physical Therapist The Physical Therapist is forward-thinking who excels at assessing patients' strengths and weaknesses and devising creative and effective treatment plans. Therapists must practice discretion & maintain patient confidentiality. Must operate a high-energy, positive-thinking envi...

Physical Therapist The Physical Therapist is forward-thinking who excels at assessing patients' strengths and weaknesses and devising creative and effective treatment plans. Therapists must practice discretion & maintain patient confidentiality. Must operate a high-energy, positive-thinking envi...

Physical Therapist The Physical Therapist is forward-thinking who excels at assessing patients' strengths and weaknesses and devising creative and effective treatment plans. Therapists must practice discretion & maintain patient confidentiality. Must operate a high-energy, positive-thinking envi...

Physical Therapist The Physical Therapist is forward-thinking who excels at assessing patients' strengths and weaknesses and devising creative and effective treatment plans. Therapists must practice discretion & maintain patient confidentiality. Must operate a high-energy, positive-thinking envi...

It is part of the Global CMG function within the Investment & Corporate Banking Regulatory Compliance (“ICBRC”) group for CACIB worldwide. The Conflicts Management Group (“CMG”) in the Americas is responsible for the regulatory advisory function and the management of conflicts of interest, MNPI ....

AVP – Surveillance and Compliance Advisory – Regulatory Control Group. Evaluate industry enforcement actions and regulatory changes relevant to Cantor. Review historical activity to help regulatory responses. ...

Global Markets Regulatory Compliance (“GMRC”) Advisory – Americas Director is responsible for providing advice on Swap Dealer and Broker Dealer regulations (including the global impact of relevant U. Coordinate compliance regulatory examinations and participate in the coordination of response to ...

Improve the compliance department's risk management and controls through the monitoring and testing of their regulatory compliance frameworks. Participate in planning, execution, and reporting of compliance assurance reviews and compliance and regulatory issue validation. Monitor and test regulat...

Notify immediately the Audit Manager / Regional Supervisor / Head of Local Audit of any major control weaknesses (reputational, regulatory, compliance, etc. Contribute to the on-going development of IGEs knowledge and expertise regulatory guidelines, requirements, or expectations; attend industry...

The Clinical Regulatory Compliance Specialist provides and supports regulatory, accreditation and certification activities to achieve and sustain ongoing compliance. Identifies and assesses risk as an integral part of the regulatory compliance review process. Experience working with regulatory an...

The Chief Compliance Officer & Head of Regulatory will lead CLEARs Compliance & Regulatory teams within Legal while working with teams across the company to build products & programs consistent with global laws & regulations. Provide practical legal guidance to the business on regulatory matters ...

Analyze marketing material, focusing on social media content, for compliance with regulatory standards including, SEC, FINRA and MSRB. Create summary reports to Compliance and Business Management that detail compliance findings and corrective actions. What is the Compliance group responsible for?...

This includes the following responsibilities:- Assess the risks of the audited activities and to validate the related control environment for its design and operating effectiveness- Review and challenge the processes and controls in view of their respective purpose and mandates as well as the rel...

Regulatory Compliance Analyst is a professional responsible for processing and ensuring to complete the regulatory compliance requirements for GTFD related transactions. If the goods are identified with some potential risks, such goods need to be sent to dedicated compliance team to have an inter...

Broker dealer located in Midtown Manhattan looking to bring on board a “VP Compliance – Regulatory Exams” to join their team. Manage regulatory examinations covering wholesale businesses, functions and topics, including operations, finance, regulatory reporting, and sales and trading, and prepare...

This position will work directly with the Advisory Team, the first line of defense (“1LOD”) as well as the heads of US Compliance verticals to build a bank regulatory compliance program covering US state and federal banking rules applicable to SMBC including, but not limited to Federal Reserve Ac...

It is part of the Global CMG function within the Investment & Corporate Banking Regulatory Compliance (“ICBRC”) group for CACIB worldwide. Summary:The Conflicts Management Group (“CMG”) in the Americas is responsible for the regulatory advisory function and the management of conflicts of interes....

Professional Services team for Regulatory and Compliance is a global team of knowledgeable and enthusiastic consultants with a wide range of skills and capabilities. ...

As Director, Regulatory Compliance Operations, you will oversee our regulatory approval, regulatory submission, and policies and procedures processes. Oversee the Regulatory Compliance Operations unit and their management of regulatory and material submissions and the Policy and Procedure Program...

As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and trainin...

Minimum 6 years of related work experience working in regulatory compliance, risk or internal audit departments at commercial/retail banks, federal regulatory agencies, or other financial institutions, in a similar consulting practice. Practical experience involving compliance testing, compliance...

Retail broker Dealer located in Midtown Manhattan looking to bring on a new “Senior Regulatory Compliance Officer” to join their team. Conduct internal investigations related to potential regulatory violations or compliance breaches. Monitor and interpret new regulatory developments and ensure th...

This position is the owner of gas compliance maintenance plan standards and reporting, and is responsible for monitoring adherence to standards, working with gas utilities to correct deviations from standards for preventive and corrective maintenance, monitoring gas compliance reporting, working ...

As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and trainin...