Collecting information
Organizing data
The Associate Manager of Compliance Supervision Role supports the Managing Partner and Director of Supervision in shaping the culture of compliance in the office.. Perform review and supervision of multiple systems, including, but not limited to, flagged email and social media correspondence, transaction/trend supervision, and compliance monitoring systems. Premier Audit Results: Support DoS to maintain low or minimal HPM risk assessment score. Active and valid FINRA Series 7, 9/10 and 63 registrations.. Active and valid FINRA Series 7, 24, 4, 53, and 63 may be considered in lieu of S7, 9/10, and 63
We are looking for a highly capable Program Claims Compliance Specialist to join our team and work from any of our US offices in Chicago, Los Angeles, New York City, Omaha, Richmond (VA), Rockwood (PA), or San Antonio.. Responsible for SharePoint site updating and IT onboarding for Claims adjuster access.. Respect each other:Create an environment that promotes dialogue, mutual support and cooperation between and among all, where people are fun to be around, proud of what they do, and willing to achieve beyond normal expectations.. BWS is a leading wealth solutions provider, focused on securing the financial futures of individuals and institutions through a range of wealth protection and retirement services, and tailored capital solutions.. In addition to traditional health and wellness plans, benefits include dental, disability, life insurance, medical, and vision insurance, matching 401(k) retirement savings, generous paid time off (21 days of PTO, 11 paid company holidays, 3 floating holidays and a paid voluntary day), paid caregiver and parental leave, paid bereavement, jury duty/court appearances, and military (up to 14 days) leave, employee assistance program (EAP), and an array of voluntary benefits.
Adjunct Professor - Personal Finance (Santa Ana). Oak Valley serves predominantly first-generation and low to middle-income students with a low-cost (debt-free) Bachelor of Arts in Business.. All others graduate with no student loans.. IN-PERSON CLASS (NOT online) teaching assignment is in Santa Ana. Requires a graduate degree, teaching/training experience, and the ability to teach from a Christian worldview.
Our greatest challenge is protecting Buyer trust without unjustly harming good selling partners.. To strike the right balance, we invest in mechanisms which allow us to accurately identify and mitigate risk, and to quickly correct and learn from our mistakes.. This strategy includes continuously evolving enforcement policies, iterating our Machine Learning risk models, and exercising high-judgement decision-making where we cannot apply automation.. 4+ years of compliance program management, legal, governance, audit, risk / loss prevention, or equivalent experience. Professional auditing qualification, or similar risk or compliance credentials
Review marketing communications (including presentations, fact sheets, press releases, website and social media content, media appearances, webinar content, RFPs and other content) across numerous product lines, including registered and unregistered funds and segregated accounts, consistent with U.S. and international marketing rules and guidance;. Collaborate with business partners across all investment teams, Legal, Global Marketing, Distribution and others to advise on content standards and provide guidance on U.S. and international marketing rules;. Develop or modify policies and procedures and desktop guidance with respect to marketing and advertising, as well as updating Written Supervisory Procedures for the broker-dealer, in response to regulatory and/or business requirements.. Prior experience with supervising registered persons and other broker-dealer requirements.. Current FINRA Series 7 and Series 24 licenses.
You would lead the charge in ensuring our cutting-edge electric and hybrid technologies meet the highest safety standards.. This role involves guiding engineering teams, interpreting safety regulations, and driving continuous improvements in product safety.. Global Standards: Analyze global regulations and applicable standards, driving the creation of formal External Requirements Plans for R&D.Incident Management: Manage product safety incidents, including leading incident handling meetings and following required actions.. Education Level:Bachelor's Degree in Electrical Engineering or related field preferredCertification or specialized training in regulatory or product safety evaluation preferredWhat’s in It for You (and Why You’ll Love It Here) When you join Sandvik, you’re becoming part of a team that values your contributions and empowers you to excel.. Growth & Development: Take advantage of leadership programs, skill-building opportunities, and pathways for career advancement.
Located at the intersection of Wilshire Boulevard and Rodeo Drive, we put you in the enviable heart of Beverly Hills, with designer shopping, fine dining and postcard-worthy views at our doorstep. The position will report directly to the Assistant Director of Finance. In captivating Beverly Hills with Rodeo Drive boutiques glittering at the doorstep, this legendary Los Angeles landmark buzzes with renewed vitality. Perform any additional duties as assigned by the Director of Finance or Assistant Director of Finance. Bachelor’s degree in accounting & finance (added advantage to have previous experience in Finance, Prior experience in Hotel / Resort Accounting)
The ByteDance and TikTok team are growing fast and is seeking a highly experienced, bright, and capable legal/compliance lawyer to join us. We are seeking an experienced AML compliance attorney with direct experience in financial crime areas including anti-money-laundering and sanctions, who also possess a data-driven mindset. Proven combined legal and compliance in-house experience with a multi-national company, possessing advanced knowledge and recognized expertise in areas relevant to sanctions, AML, Bank Secrecy Act, payments, money transmission, financial regulations, financial crimes schemes etc. TikTok's global headquarters are in Los Angeles and Singapore, and we also have offices in New York City, London, Dublin, Paris, Berlin, Dubai, Jakarta, Seoul, and Tokyo. VP of Asset Management (Affordable Housing) Director of Security Administration and Clery Compliance Operations Executive Director Early Learning (Head Start/Early Head Start) - YMCA of Metropolitan Los Angeles Los Angeles Metropolitan Area $100,000.00-$120,000.00 3 weeks ago
We are seeking an experienced Senior Civil Project Engineer to join our engineering team in Orange County Civil - Newport Beach, CA.. This role offers an exciting opportunity for a senior civil engineer who has led and managed complex projects and has a proven ability to build their own client base and successfully securing new work.. Oversee Engineering Calculations and Documentation : Perform and review advanced engineering calculations, and ensure accuracy in detailed drawings, specifications, and technical reports using AutoCAD, Civil 3D, and other tools.. Manage Project Schedules, Budget, and Compliance : Oversee project schedules, budgeting, and documentation, ensuring regulatory compliance and managing permitting processes in coordination with regulatory agencies.. Proficiency in AutoCAD, Civil 3D, and MS Office Suite
Full-time Description Terraphase Engineering is an environmental consulting company seeking an Associate to Principal - Environmental Compliance Consultant (Scientist, Geologist, or Engineer) to support our growing compliance services division.. Research, review, and analyze environmental and water quality policies and regulations.. Lead project planning, cost estimating, reporting, permitting, and compliance efforts.. Experience with other Compliance Regulations (RCRA, CWA, CAA, EPCRA, etc.). Our staff is comprised of registered professionals in civil engineering, geology, hydrogeology, and geotechnical engineering.
Terraphase Engineering is an environmental consulting company seeking an Associate to Principal - Environmental Compliance Consultant (Scientist, Geologist, or Engineer) to support our growing compliance services division.. Research, review, and analyze environmental and water quality policies and regulations.. Lead project planning, cost estimating, reporting, permitting, and compliance efforts.. Experience with other Compliance Regulations (RCRA, CWA, CAA, EPCRA, etc.). Our staff is comprised of registered professionals in civil engineering, geology, hydrogeology, and geotechnical engineering.
Machina Labs is a smart manufacturing company backed by major investors in AI and Deep Tech (Innovation Endeavors, Nvidia NVentures, Lockheed Martin Ventures), founded in 2019 and based in Los Angeles, CA. We are on a mission to build the factory of the future through the development of modular manufacturing solutions that allow our customers to rapidly produce and iterate on their designs utilizing our robotic sheet metal forming platform. As our first in-house legal hire, the Head of Legal and Compliance will establish and lead the legal function at Machina Labs. You’ll work closely with the executive team and the various departments, building and owning our legal strategy, compliance, risk management, and government contracting support. Manage the full lifecycle of government contracts, including FAR / DFARS compliance, flow-downs, and risk mitigation. Monitor evolving federal procurement and export control policies and advise leadership on impact and strategy. Deep understanding of ITAR, EAR, DFARS / FAR, and other relevant U.S. regulatory frameworks.
This role involves guiding engineering teams, interpreting safety regulations, and driving continuous improvements in product safety.. Incident Management: Manage product safety incidents, including leading incident handling meetings and following required actions.. Experience with high voltage battery systems and/or electric vehicle driveline is a plus. Knowledge of design of experiments, statistical process control, process capability evaluation, corrective and preventive action processes, FMEA, and other risk assessment techniques. Ability to understand and interpret regulations and standards (CE, IEC, ISO, EN, etc.)
Manages and maintains compliance programs including Non-GMO, Gluten-Free, Organic, Kosher. Serves as Food Safety Team leader and SME, FSI, ensuring facility compliance.. Oversees complaint management program, pest control program, and traceability program.. Fills in for QFS Lab Supervisor/QFS Director when absent (i.e. vacation, travel).. Sanitation,Food Safety,Quality Assurance Processes,Thermal Processing,Beverage Industry,Dairy Products
Telecare continues to advance cultural diversity, humility, equity, and inclusion at all levels of our organization by hiring mental health peers, BIPOC, LGBTQIA+, veterans, and all belief systems.. The Regional Business Office Manager (RBOM) is responsible for ensuring that programs receive high quality performance of business office functions.. Oversees business office operations, including sufficient auditing and review, to ensure compliance with Telecare policies and procedures. All opportunities at Telecare are contingent upon successful completion and receipt of acceptable results of the applicable post-offer physical examination, -step PPD test for tuberculosis, acceptable criminal background clearances, excluded party sanctions, and degree or license verification.. Working knowledge of Social Security, Medicaid, and other government assistance programs, billing and reimbursement procedures, timekeeping and payroll procedures, and a broad knowledge of standard office procedures
Altius Search Group is searching for an Account Executive for one of our clients in the Equipment Finance Industry. Maintain a scheduled calling program with clients and prospects to develop selling of Equipment Finance.. Structure equipment transactions ranging from $500k to $10MM on average.. Coordinate with the marketing team to execute database marketing initiatives to generate new business opportunities.. Excellent understanding of equipment finance marketplace