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
...Meds R Us in Sallisaw, OK is looking for 1 budtender/ headshop cashier to join our 4 person team, as a floater. Our ideal candidate is a self-starter, punctual, reliable and able to work when needed Mon-Fri. Responsibilities Take care of patients Product intake...
...especially during busy times Attention to cleanliness and detail Benefits ~ Many Summer Incentives ~ Marriott Wide Hotel Room Discounts ~ Company Wide Hotel Room Discount Program ~401K Matching ~ Referral Bonus Incentive ~ Retention...
...Commercial Airlift Review Board (CARB) certified company that conducts operational, maintenance, and training aviation support operations across... ...sufficient knowledge of and experience with 14CFR 91 & 135 flight operations management. Position Summary This is an...
Class A Dry Bulk Pneumatic Tanker Driver JobBrink Transfer Services is a local, family-owned trucking company who knows you by name and not a number. We have more work than drivers! We are looking to fill trucks now to haul bulk pneumatic tankers out of the New Buffalo...
...Team has an exciting career opportunity for a full time Senior Technical Recruiter reporting to the Lead, Talent Acquisition Partner .... ...recruiting process, developing strategic sourcing plans, executing overall sourcing strategies and providing consultation to...