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Vice President and Compliance Officer in Cincinnati
Communicate regulatory changes and trends with the client’s management team and their employees, representatives, etc.
Perform and/or oversee periodic testing of written policies and procedures to determine ongoing compliance
Perform trading and best execution reviews; monitor/review pers ...Read more
Chief Compliance Officer in Cincinnati
Communicate regulatory changes and trends with the client’s management team and their employees, representatives, etc.
Perform and/or oversee periodic testing of written policies and procedures to determine ongoing compliance
Perform trading and best execution reviews; monitor/review pers ...Read more
Vice President and Chief Compliance Officer in Cincinnati
Vice President and Chief Compliance Officer
Posted on
Feb 08, 2022
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Communicate regulatory changes and trends with the client’s management team and their employees ...Read more
Compliance Officer in Davenport
Key responsibilities:
Oversee the activities of the Internal Compliance Officer, and ensure all required reports, responses, filings and requests are submitted to the Colorado Division of Gaming (CDOG) timely.
Develop audit programs, reviews and processes to prevent regulator ...Read more
Compliance Officer in Iowa City
A Registered Investment Advisor is seeking a Senior Compliance Officer to join their team. The Senior Compliance Officer will be responsible for ensuring that all company practices comply with regulatory requirements, industry standards, and company policies. The successful candidate will have ...Read more
Compliance Officer I-Licensed in Cincinnati
Make banking a Fifth Third better
We connect great people to great opportunities. Are you ready to take the next step? Discover a career in banking at Fifth Third Bank.Read more
Fuel Compliance Officer - 12 Month Register in Nashua
Duties
WHAT IS THE SMALL BUSINESS SELF EMPLOYEDDIVISION?
A description of the business units can be found at: https://www.jobs.irs.gov/about/who/business-divisions
Vacancies will be filled in the following specialty areas:
SBSE - Small Business/Self Employed, SB/SE Deputy ...Read more
Trust Compliance Officer in Sioux Center
About American State Bank
For over 50 years, we have been committed to providing our customers with high-quality products and exceptional customer service. Our goal is to make sure ou ...Read more
Director Compliance - Deputy Chief Compliance Officer - TFA in Cedar Rapids
Job Family
Regulatory Compliance