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Key Duties and Responsibilities: Assist with annual compliance review, preparation of annual report on policies and procedures Develop, review and revise policies and procedures Assist ...
Regulatory Compliance & Product Development Specialist (USDA Food Manufacturer)Newark, NJOur client is a rapidly growing USDA, value added, frozen food manufacturer based in the greater Newark NJ ...
COMPLAINCE MANAGER Based in our NYC Corporate Office (not remote) The Compliance Manager ensures our business adheres to legal standards and internal policies. This role is crucial for maintaining ...
Develop, maintain and implement compliance program for broker-dealer which serves as the ... OSJ remote office inspection and other SEC/FINRA regulatory requirements * Work with registered ...
This is a remote role with minimal office time as needed. Responsibilities: The Director of Regulatory Compliance Operations will be responsible for: * Contributing to the annual risk assessment plan ...
Role Description This is a full-time hybrid role for a Billing Compliance Specialist at Haworth Barber & Gerstman, LLC in New York, NY, with flexibility for remote work. The Billing Compliance ...
This position will primarily be responsible for preparing and submitting regulatory documentation for the marketing of new or modified medical devices, ensuring compliance with US regulations. This ...
W2, Permanent/Direct-Hire/Full-Time * Open to Remote, Hybrid within 30 miles of offices in NYC or ... Compliance Product Ownership: Drive compliance products across markets, understand jurisdiction ...
The Operations Assistant position is a primarily remote opportunity with the need to come into the ... compliance with all laws and regulations impacting the Funds, such as COBRA, HIPAA, and the ...
AVP - Surveillance and Compliance Advisory - Regulatory Control Group Location: New York, NY ... Hybrid for BGC Partners across the working week, means three days office based and two days remote
Implement security measures and compliance standards of the platform and APIs to ensure adherence to industry regulations. * Mentor technical engineering talent. Provide guidance and mentorship to ...
Compliance Surveillance Analyst Essential Duties & Responsibilities: * Maintain and monitor employee brokerage accounts. * Timely follow-up with onboarding users, account disclosures and brokerage ...
A financial services firm in Midtown, NY, is seeking a Regulatory Compliance Manager for their Broker-Dealer team. This role will focus on overseeing and managing compliance initiatives, particularly ...
AML-related reviews such as FinCEN, OFAC - Monitoring compliance applications for employee personal account dealings, employee trading, outside business activities, private securities transactions ...
Compliance Oversight: Ensure all investment banking activities adhere to regulatory requirements and internal policies. Monitor and enforce compliance with FINRA, SEC, and other relevant regulations
The Legal and Compliance Department coordinates, oversees, and handles all legal, regulatory and compliance issues globally. Key compliance responsibilities and tasks will include the following
Seeking Code Compliance Coordinator for MTA Project. **You MUST answer all the screening questions and have resume with certifications attached to be considered. Job Responsibilities: * Coordinate ...
We are seeking an experienced and proactive Vice President of Leasing & Compliance (VP) to lead and oversee the Leasing and Compliance department. This role is crucial for ensuring our operations ...
We are looking for an experienced compliance professional who will take on an integral role in helping to contribute to the management of Octagon's compliance program. Essential Duties and ...
Ensure that any compliance issues or concerns with the firm are being appropriately escalated, evaluated, investigated, and addressed in a timely manner. * Perform other compliance-related ...
The Guidelines and Restrictions team is tasked with ensuring compliance with investment guidelines across various accounts, including institutional separate accounts (both ERISA and non-ERISA ...
Primary Duties and Responsibilities: ● Responsible for the live monitoring of payments and messages via the banks OFAC filtering system to ensure all transactions are in compliance with OFAC ...
Compliance Professional (New York, NY or REMOTE): Our client is seeking a detail-oriented and proactive senior compliance professional with a background in 1940 Act work to join their compliance team
This is a remote role with minimal office time as needed. The Director of Regulatory Compliance Operations will be responsible for:. A healthcare organization in New York City is seeking a Director of Regulatory Compliance Operations to lead regulatory approvals, submissions, and compliance with ...
