Sentences with phrase «chief compliance officer with»

Gavin T. Ales is chief compliance officer with Torrance, Calif. - based DocMagic Inc..

Summary Experienced General Counsel and CAMS - certified Chief Compliance Officer with in - depth k...

In this interview, Bill speaks with Mark Smolik, the General Counsel and Chief Compliance Officer with DHL Supply Chain of Americas, who launched a continuous evaluation platform from scratch after he and his team reduced their outside counsel numbers from hundreds to a select panel.

Bob is registered as a Portfolio Manager and Chief Compliance Officer with the Ontario Securities Commission (OSC).

Not exact matches

«You might have someone on - site who can put in a firewall or a VPN [virtual private network] gateway, and then forgets about it,» warns Guy Fardone, chief operating officer and general manager with Wayne, Pa. - based Evolve IP, a managed security and compliance services firm.

Along with Sacks's appointment, Zenefits has also promoted Josh Stein as its chief compliance officer.

Our Chief Executive Officer and each of our directors are currently in the applicable period to come into compliance with these requirements.

Timothy Hauser, chief operating officer of DOL's Employee Benefits Security Administration, has warned broker - dealers and advisors at industry conferences to get in touch with DOL if they have questions about compliance.

The Department of Labor plans to «push out guidance fairly shortly» to address questions about compliance with Labor's fiduciary rule, Timothy Hauser, chief operating officer of DOL's Employee Benefits Security Administration, said Monday.

He previously was a partner at the law firm of O'Melveny & Myers, a deputy general counsel at the U.S. Department of Homeland Security Department, and senior counsel at the Justice Department.John Roth joined the firm as chief compliance and ethics officer, with responsibility for ensuring that the company remains in compliance with the evolving legal landscape.

The culture of compliance at Franklin Templeton starts from the top, with support from senior management and oversight by the firm's Chief Complianccompliance at Franklin Templeton starts from the top, with support from senior management and oversight by the firm's Chief ComplianceCompliance Officer.

Combining investment research and portfolio management with direct client relationships, Mr. Roberts also served as the firm's Chief Compliance Officer from 2004 - 2016 and represents KF investors as a director or observer on the boards of several private venture companies.

Chris Cyrenne is chief ethics & compliance officer with responsibility for Canada, the UK, China and Japan.

This week, the SEC issued an order charging a registered investment adviser, along with its then - chief compliance officer, with breaching their fiduciary duties by failing to disclose a conflict of interest created by the outside business activity of one of the adviser's top - performing portfolio managers and failing to disclose a breach of the adviser's private investment policy by that portfolio manager.

Cleary, 48, a deputy chief contracting officer with New York City's Department of Health and Mental Hygiene, will be Nassau's new $ 140,000 - a-year procurement compliance chief.

The agency has established an Executive Compliance Department for the first time in its history, with a Chief Compliance Officer responsible for compliance training for NYCHA's employees, accuracy of external reporting and a providing an additional outlet for resident and employee cCompliance Department for the first time in its history, with a Chief Compliance Officer responsible for compliance training for NYCHA's employees, accuracy of external reporting and a providing an additional outlet for resident and employee cCompliance Officer responsible for compliance training for NYCHA's employees, accuracy of external reporting and a providing an additional outlet for resident and employee ccompliance training for NYCHA's employees, accuracy of external reporting and a providing an additional outlet for resident and employee complaints.

In this regard, the defence spokesman said, «the Chief of Defence Staff held a Briefing session with the Chief of Army Staff, Chief of Air Staff, the Theatre Commander and Senior Principal Staff Officers of the military high command at the Military Command and Control Centre on 1st August 2017, on the reviewed strategic direction and operational plans, in compliance to the directive of the Acting President.

Filed Under: Featured Tagged With: Betsy DeVos, Bill & Melinda Gates Foundation, charter schools, Common Core, Council of Chief State School Officers (CCSSO), Deregulating IDEA, Johnny Collett, Online Charter Schools, Personalized Learning, Regulations, special education, Special Education Compliance, USDOE Special Education Director

Within the Department of Transportation (DOT), DOT's Office of Chief Information Officer (OCIO), within the Office of the Secretary of Transportation (OST), is responsible for leading DOT's compliance with the Open Government Directive issued by the Office of Management and Budget on December 8, 2009 (OMB Memorandum M -10-06).

The Fund's Chief Compliance Officer, or a Compliance Manager designated by the Chief Compliance Officer, may also grant exceptions to permit additional disclosure of Fund portfolio holdings information at differing times and with different lag times (the period from the date of the information to the date the information is made available), if any, in instances where the Fund has legitimate business purposes for doing so, it is in the best interests of shareholders, and the recipients are subject to a duty of confidentiality, including a duty not to trade on the nonpublic information and are required to execute an agreement to that effect.

In addition, she is involved with internal accounting procedures and assists the Chief Compliance Officer in meeting ongoing regulatory and compliance obCompliance Officer in meeting ongoing regulatory and compliance obcompliance obligations.

The Trust's Chief Compliance Officer will report periodically to the Board with respect to compliance with the Funds» portfolio holdings disclosure procedures, and from time to time will provide the Board any updates to the portfolio holdings disclosure policies and pCompliance Officer will report periodically to the Board with respect to compliance with the Funds» portfolio holdings disclosure procedures, and from time to time will provide the Board any updates to the portfolio holdings disclosure policies and pcompliance with the Funds» portfolio holdings disclosure procedures, and from time to time will provide the Board any updates to the portfolio holdings disclosure policies and procedures.

The Audit, Compliance and Valuation Committee meets with the funds» Chief Compliance Officer and Chief Financial Officer and receives regular reports regarding compliance risks, operational risks and risks related to the valuation and liquidity of portfolio sCompliance and Valuation Committee meets with the funds» Chief Compliance Officer and Chief Financial Officer and receives regular reports regarding compliance risks, operational risks and risks related to the valuation and liquidity of portfolio sCompliance Officer and Chief Financial Officer and receives regular reports regarding compliance risks, operational risks and risks related to the valuation and liquidity of portfolio scompliance risks, operational risks and risks related to the valuation and liquidity of portfolio securities.

The Audit, Compliance and Valuation Committee meets with the fund's Chief Compliance Officer and Chief Financial Officer and receives regular reports regarding compliance risks, operational risks and risks related to the valuation and liquidity of portfolio sCompliance and Valuation Committee meets with the fund's Chief Compliance Officer and Chief Financial Officer and receives regular reports regarding compliance risks, operational risks and risks related to the valuation and liquidity of portfolio sCompliance Officer and Chief Financial Officer and receives regular reports regarding compliance risks, operational risks and risks related to the valuation and liquidity of portfolio scompliance risks, operational risks and risks related to the valuation and liquidity of portfolio securities.

«All breeds need regular professional cleanings, but with regard to the top breeds at risk, professional dental cleanings and compliance with at - home care of the health of teeth and gums is especially crucial,» said Jeffrey Klausner, DVM, MS, DACVIM, senior vice president and chief medical officer for Banfield.

In a statement, Manon Bombardier, chief compliance and enforcement officer with the CRTC said Compu - Finder ``... flagrantly violated the basic principles of the law by continuing to send unsolicited commercial electronic messages after the law came into force to e-mail addresses it found by scouring web sites.

Maureen also provides support and counsel to an international group of chief privacy officers focused on compliance with U.S., EU and other national data privacy laws.

«We live in interesting times with Russian business — we have to understand each country's sanctions,» says Hartland Paterson, general counsel, chief compliance officer & secretary with CAE Inc. in Montreal.

In the second CASL case, PlentyofFish Media Inc. (PoF), the operator of the well - known online dating web site Plenty of Fish, voluntarily entered into an undertaking with the CRTC's chief compliance and enforcement officer in order to settle several alleged violations of CASL.

She has eight direct reports — six are effectively general managers for legal in countries, along with operations head, «right - hand man» and chief compliance officer Frank Govaerts, and vice president of corporate and deputy company secretary Paul van Reesch.

Our team includes members with experience as chief compliance officers and SEC - approved independent compliance consultants.

The chief legal officer is charged with defending the company but the chief compliance officer may be required to report the wrongdoing to the authorities and co-operate in an investigation.

A conversation with Mark Smolik of DHL Mark Smolik, Vice President General Counsel & Secretary, Chief Compliance Officer, DHL Supply Chain Americas, leads his company's legal, commercial contracts management, compliance, and economic developmCompliance Officer, DHL Supply Chain Americas, leads his company's legal, commercial contracts management, compliance, and economic developmcompliance, and economic development teams.

She previously served as Vice President and Chief Compliance Officer of Northrop Grumman Corporation, a $ 24B aerospace and defense company with 65,000 employees worldwide.

(l) the appointment of an individual as a chief financial officer and the signed consent of the individual to act, which shall be deemed to be sufficient compliance with subsection 33 (2) of the Election Finances Act;

(7) Where in the opinion of the Chief Electoral Officer, by reason of any mistake, miscalculation, emergency or unusual or unforeseen circumstance, a situation exists for which no provision is made under this Act, the Chief Electoral Officer may make such appointments or give such directions as he or she considers proper and anything done in compliance with any such direction is not open to question, but the Chief Electoral Officer shall immediately give notice of any such direction to the candidates affected and to the registered parties, if any, of the candidates.

17.5 The Chief Electoral Officer may provide guidelines for compliance with section 17.4 and publish them,

Christina Sontheim now leads a team of eight individuals in her role as chief legal and compliance officer for this complicated business, and goes into the formative professional experiences that have moulded her into a top - level in - house legal professional: «Starting directly with my first job in a big international company had an enormous impact on the way I work, as did leading my first bigger team and taking on my current role as chief legal and compliance officer.

Here, he progressed to the position of head of HR, legal and compliance, general counsel and chief compliance officer by early 2015, evidence of the success he had with the company during his time there between 2007 and 2016.

1.2 Thomson Reuters Canada has designated a Chief Privacy Officer to oversee compliance with the Thomson Reuters Canada Privacy Code.

Henceforth, Chief Risk Officer (CRO) will gain prominence; with IRDAI emphasizing they should be included as permanent members in the investment committee to improve industry compliance.

This document is for a legal professional with experience as Chief Compliance Officer.

Chief Compliance Officers make sure that the company they work for and its employees comply with industry regulations and internal policies.

Supported Corporate Counsel / Chief Compliance Officer through assistance with Legal, Corporate Compliance and Tax matters.

We welcome the opportunity to work with chief procurement officers and diversity supply chain procurement managers to bid on RFPs and respond to RFQs for employment background screening, drug testing, and mandated employee compliance training services.

«We are excited about the opportunity to bring value to Premier's member healthcare organizations,» said Zach Daigle, Chief Operating Officer of PreCheck, Inc. «As the only healthcare - exclusive background screening, credentialing and compliance company on the agreement, PreCheck is uniquely well - equipped to provide innovative, cost - saving solutions that help to ensure compliance with industry regulations and accreditation standards for Premier's membership.»

However, Brad Landin, president and chief compliance officer at Employment Screening Resources ® (ESR), an employee background check company based in the San Francisco, California area, told Talent Economy that with «a standardized application, the right questions, and professional references, measures of past performance can create an accurate outlook for future performance.»

In the article «What to Do About an Employee's Controversial, Extreme Political Views,» Brad Landin, president and chief compliance officer at Employment Screening Resources ® (ESR)-- a global employment background screening firm located in the San Francisco, California - area — was asked how employers should handle employees with unpopular or extreme political views.

SUMMARY Former National Bank Examiner, Chief Risk and Regulatory Compliance Officer, Senior Vice-President of Risk Management, and Bank Consultant with vast years of risk management expertise in assessing the levels and trends of risk associated with current and planned activities for community, mid-size and large banks.

Worked collaboratively with the Chief Compliance Officer and leadership to develop action plans and strategies to provide oversight / monitoring and follow - up to ensure goals are met.