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Regulations Compliance Associate Jobs

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Compliance, BHC/GS Bank Compliance, Regulation W, Associate, New York Job id36699LocationNew YorkFull/Part TimeFull-time Job Summary Responsibilities Candidate will work as part of the GS Bank Compliance team with the Regulation W compliance officer for the firm. Regulation W is designed to protect against a Bank suffering losses in transactions with affiliates. As such, the candidate will be r...
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Examiner opening in New York, NY . To be considered for this position, please submit your resume through our career site at www.finra.org/careers - no phone calls, please. Job Summary: A TFCE Equities examiner conducts examinations of member firms subject to relevant rules and regulation...
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Examiner opening in New York, NY . To be considered for this position, please submit your resume through our career site at www.finra.org/careers - no phone calls, please. Job Summary: A TFCE Equities examiner conducts examinations of member firms subject to relevant rules and regulation...
Position is identified as Strategic Review Lockheed Martin Information Systems & Global Solutions (IS&GS) – Civil provides support to a wide array of information technology systems, services and data solutions for areas such as energy, healthcare, transportation, security and space exploration just to name a few. IS&GS-Civil currently has an Environmental, Occupational Safety & Health (EOSH) openi...
SUMMARY: The Regulation & Policy (RAP) Manager is responsible for ensuring that the written compliance policies, procedures and written supervisory procedures of the firm are complete, accurate and properly maintained and that all policies are effectively communicated to the associates of the firm. This is accomplished through interaction with all Compliance Department Units and Department Manage...
Responsibilities: Manages the development and execution of a health-system wide compliance audit program to ensure data integrity, compliance with federal and state regulations pertaining to but not limited to: federal heath care program requirements, privacy, security, and transactions. Under the direction of the HIPAA Officer, interprets the applicable federal and state law and regulations to p...
Convergent Wealth Advisors is a dynamic Potomac, Maryland-based financial services firm offering specialized investment management, portfolio advisory and performance measurement services to our high net-worth clients. We have offices in Los Angeles, New York, Portland, OR, and Potomac, MD. We have an immediate need for an experienced Senior Compliance/Risk Associate at our Potomac, Maryland locat...
Job Description We are seeking a Compliance Associate to assist with daily compliance management and oversight of client investment guidelines for alternative ’40 Act products, UCITS, separately-managed accounts and hedge funds. The primary responsibility of the Compliance Analyst is interpreting investment guidelines, developing and testing compliance rules, monitoring pre-trade/post-trade comp...
Maintain the necessary Drug and/or Device licenses for all states required to ensure compliance with state and federal regulations. A total of approximately 120+ State Drug licenses will be required for the Glens Falls, Queensbury and Manchester GA facilities. Compile and maintain the required information required for State drug licenses. Submit completed application with supporting documentatio...
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Associate Examiner opening in New York, NY . To be considered for this position, please submit your resume through our career site at www.finra.org/careers - no phone calls, please. For "Source", please specify "Campus Recruiting - Your University". This position will begin July 2016. Essential Job...
The Import Compliance and Traffic Services Associate is responsible for performing compliance, special investigations and risk based finance and operational audits for Imports. Responsibilities include daily import audits, financial auditing and payment authorization of freight invoices in a high volume area. This function interacts with Financial, Operational, and Procurement personnel across the...
The role of the Compliance Associate in New York is to maintain the laws, regulations and policies governing the Firm in order to avoid economic, regulatory and legal liability and risk to reputation. Client Details A top tier American multinational investment banking firm, with an opportunity in its New York office. Description The Compliance Associate's responsibilities include, but are not ...
Description: Here, you'll help attract, lead, support and reward our most valuable asset: our high caliber people. Here, you're expected and empowered to be your best, to grow and to develop your skills. Be prepared to move quickly, to engage proactively, and to think strategically. Join us and help people live healthier lives while doing your life's best work.(sm) Reporting to the Associate Dir...
Founded in 1978, Universal Health Services, Inc. (UHS)* is one of the nation’s largest and most respected healthcare management companies, operating through its subsidiaries’ acute care hospitals, behavioral health facilities and ambulatory centers nationwide. With more than 65,000 people employed by UHS’ subsidiaries, UHS’ business strategy is to continue to grow by building or purchasing healthc...
Property Management Compliance Specialist - (FT) Central Office-- St. Paul, MN As the largest provider of affordable housing in the Upper Midwest, CommonBond Communities has been building and sustaining homes with services to families, seniors, and individuals with disabilities since 1971. We combine affordable housing with on-site Advantage Services with a goal of helping residents achieve stab...
GKN Aerospace, a world leader in gas turbine component manufacturing and Electro-Chemical Machining (ECM), has an immediate opening for a R&D Engineer.. GKN is a global engineering and manufacturing company focused on the aerospace and automotive industries with operations in more than thirty countries and employs more than 50,000 people in its subsidiaries Role Purpose To lead, direct and admin...
CliftonLarsonAllen is offering an exciting opportunity for a qualified candidate to join our Financial Institution Group (FIG) in our Boston, MA office as a Compliance Consultant to assist in providing regulatory compliance consulting services to financial institutions. Regulatory compliance covers federal consumer protection regulations such as Regulations Z, X, E, DD, CC, RESPA, HMDA, BSA, etc....
Our client, the NY headquarters of a leading financial institution, seeks a privacy compliance consultant. This is a contract assignment expected to last for six months. The privacy compliance consultant will: • In conjunction with other members of the privacy office team, oversee comprehensive privacy program for the entire corporation, which includes developing, communicating and monitoring on...
Based in New York, the Senior Compliance Associate will report directly to the Deputy CCO and assist in developing a robust Compliance program at a large Swap Dealer/Retail Foreign Exchange Dealer/Swap Dealer. The individual will be responsible to develop a comprehensive understanding of global financial regulations and how those rules apply to the Firm. The role will require the individual to be ...
RESPONSIBILITIES: · Initiate and coordinate the completion of CAPAs · Perform DEA reporting · Ensure compliance with ISO and FDA regulations REQUIREMENTS: · Must have a Bachelor's degree, preferably in the life sciences · At least 2 years experience in pharmaceutical compliance and FDA licensing · Familiar with international standards · Proficient in DEA reporting, ISO and FDA compliance, ...