Summary 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.S. regulations) and internal policies and procedures to internal stakeholders, including trading and sales personnel and key support functions. Key Responsibilities: · Responsible for the ongoing development, implementation and refinement of a comprehensive compliance program. · Coordinate compliance regulatory examinations and participate in the coordination of response to these examinations. · Maintain policies and procedures to reasonably ensure compliance with applicable regulatory requirements. · Communicate new regulatory requirements simply and efficiently to affected business and other functions/stakeholders to ensure compliance. · Continually assess the inherent risk of business units as well as the effectiveness of mitigating controls in order to minimize the residual risk of reputational damage, regulatory consequences and other operational risk through a surveillance and monitoring program. · Design, implement and maintain Compliance systems to ensure consistency in achieving industry best practices and in minimizing regulatory risk. · Provide advice on relevant regulations and internal policies and procedures to internal stakeholders including trading and sales personnel and key support functions. · Evaluate new products and activities to ensure compliance issues are identified and remediated. Key Internal contacts o All GMD business units o Legal department o Audit department o Risk departments and o Operations departments. Key External contacts The Firm's regulators, including but not limited to FINRA, SEC, NFA, and CFTC. Salary Range: $190k - $220k #LI-DNI 8+ years prior compliance advisory experience, including interaction with US regulators. Experience in managing a small team of compliance officers Bachelors degree required JD preferred
We offer paid vacation, medical, dental, vision, paid holidays, 401K, monthly performance bonus and yearly performance bonus and uniforms are provided. Overtime after 40 hours per week and average is 5 to 10 hours of OT. Maximum of 2 nights gone per month and many...
Hiring a Registered Nurse for outpatient dialysis care, no prior dialysis experience required, new grads welcome. Expect 3-4 shifts weekly, 10-12 hours, with some overtime; schedule includes mornings, evenings, weekends, holidays. Initial 9-12 weeks in hemodialysis...
...Specialty: Primary Care Physician Location: Greater Denver Area, CO Company: Optigy Type: Locums | Full-Time | Onsite Salary... ...~3-month commitment with potential full-time conversion ~ Travel, lodging, and malpractice provided Requirements: BC/BE...
...engage in meaningful work and grow your career. Let's see what we can achieve. Together.**Summary**DLA Piper seeks review attorneys for its internal Document Review Center. We are looking for candidates with prior electronic document review experience; prior experience...
...population based programs of care. Advances the practice of nursing to achieve quality and cost effective patient outcomes.... ...Required+ Neonatal Resuscitation Provider - NRP Required+ Clinical Nurse Specialist - CNS Required**TYPICAL EXPERIENCE:**+ NICU environment with...