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18076 jobs found for Compliance Officer Manager

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  • testing program, adhering to the Global Compliance Testing standards, in order to provide senior management with comprehensive end-to-end assessments of the regulatory control environment. This position may also be responsible for effectively managing staff to complete the assignments with quality

  • stakeholders to gather reports / data for IRDAI reporting. IRDAI reports should be submitted on time by drafting the covering letter mentioning applicable circular / guidelines. Interpret circulars & guidelines to ensure the regulatory reporting is completed as per schedule. Reporting branch office status

  • Listing and Listing Compliance, Inspection and Enforcement, compliance, Investor Grievance Redressal, Arbitration, Defaulter Asset Management, Surveillance and Investigation, and Exchange Compliance, Ensure operational efficiency through the implementation of policies and procedures to support Membership of Institute 0f Company Secretaries of India and/or Membership of Institute of Chartered Accountants ...

  • Listing and Listing Compliance, Inspection and Enforcement, compliance, Investor Grievance Redressal, Arbitration, Defaulter Asset Management, Surveillance and Investigation, and Exchange Compliance, Ensure operational efficiency through the implementation of policies and procedures to support Membership of Institute 0f Company Secretaries of India and/or Membership of Institute of Chartered Accountants ...

  • Listing and Listing Compliance, Inspection and Enforcement, compliance, Investor Grievance Redressal, Arbitration, Defaulter Asset Management, Surveillance and Investigation, and Exchange Compliance, Ensure operational efficiency through the implementation of policies and procedures to support

  • Listing and Listing Compliance, Inspection and Enforcement, compliance, Investor Grievance Redressal, Arbitration, Defaulter Asset Management, Surveillance and Investigation, and Exchange Compliance, Ensure operational efficiency through the implementation of policies and procedures to support

  • GSC Compliance Manager 603 This position will be located within the India Global Service Centre (GSC) which largely supports US-based consumer and wholesale banking customers subject to US-based banking (non-securities) laws and regulations, as well as local laws which apply to the legal entity

  • to obtain agreement of the reportable issues to be included in the final report; and to facilitate the development of the remedial actions (CAPs) necessary to address these reportable issues with the CT Management, Business and Product Compliance key stakeholders. The Testing Officer will ensure

  • it a priority to foster a culture where the best people want to work, where individuals are promoted based on merit, where we value and demand respect for others and where opportunities to develop are widely available to all. The Compliance Officer – Ethics Investigator is responsible

  • Control Officer may also assist in day-to-day review responsibilities in support of the CT Management team. In addition to strong fundamental understanding of regulatory examination/audit/compliance testing processes, the candidate should also have strong analytical and communication skills ...

  • in completing testing and identifying issues • Deliver clear and concise findings and recommendations in both verbal updates and in a written report format to management. • Work in partnership with the applicable Business area, Compliance Advisory and other Risk groups on Corrective Action plan development

  • regulated by Reserve Bank of India (RBI) and Securities and Exchange Board of India (SEBI). Policies and Practices is a recently constructed unit within the Asia Compliance & Regulatory Management team with responsibility for oversight of the consistent implementation of Global policies & practices whilst

  • Primary Location: United States,Texas,Irving Other Location: United States,Florida,Tampa; United States,North Carolina,Charlotte; United States,Texas,Dallas; United States,South Carolina,Fort Mill Education: Bachelor's Degree Job Function: Compliance and Control Schedule: Full-time Shift: Day

  • in a compliance capacity at either a financial institution or bank regulatory agency with strong knowledge of consumer banking regulations, with a focus on SCRA, and regulator expectations for an effective CMP. • Extensive understanding of residential mortgage products, processes and compliance risk management

  • by respective HODs and submission of MIS on monthly basis  Compile the Compliances and report non-compliances immediately to HOD and Top Management  Work related to securities and their transfer and transmission  Upon Demat / Listing, Compliance with rules and regulations in the securities market

  • by respective HODs and submission of MIS on monthly basis  Compile the Compliances and report non-compliances immediately to HOD and Top Management  Work related to securities and their transfer and transmission  Upon Demat / Listing, Compliance with rules and regulations in the securities market

  • to regulation and firm policy. In this regard, the analyst will be responsible for working with colleagues in Retail Investments Compliance, technology, business supervisors and Branch Management in developing business requirements for surveillance reviews, as well as identifying, escalating and resolving

  • on an ongoing basis. Role Outline/Job Summary Job Description: Position Title: FICC Product Compliance Officer Business Group: Product Compliance Department: Compliance Grade/Level: AVP/VP Function/Group: ICG Compliance Location: FIFC , Mumbai Financial/Budgetary: Not applicable Individual

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