Sentences with phrase «compliance officer responsible»

• OFAC compliance officer responsible for reviewi...

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 complaints.

He was, however, deeply troubled that the SEC's Enforcement Division sought to hold both firms» chief compliance officers responsible under Rule 206 (4)-7, the so called «Compliance Rule» under the Investment Advisers Act of 1940.

Not exact matches

Karen Maidment was chief financial and administrative officer of BMO Financial Group from 2007 to 2009, and was responsible for all global finance operations, risk management, legal and compliance, tax, communications and mergers and acquisitions.

Prior to Atlantic Trust Company, Amy was a Compliance Officer at SSGA, where she was responsible for ensuring equity portfolios met specified guidelines.

Ideally, the employer will create a team of responsible individuals that can be deployed seamlessly in the event of an inspection with members capable of covering for each other in the event one or more team members are absent when the compliance officer arrives.

The regulation would require agencies to register annually including identifying officers, directors, or anyone responsible for compliance.

As EEO / Human Rights Officer, Ms. Miller will be responsible for ensuring the County's recruitment and employment policies and practices and ensuring are in compliance with all equal employment opportunity legislation.

He confirmed that biosafety officer Brent Mattox has resigned, along with Richard Ewing, the vice president for research and the official responsible for the school's biosafety compliance.

Earlier, Wright served for eleven years as the University Intellectual Integrity Officer and the Assistant Vice President for Research Ethics and Standards at MSU in which dual capacity he was responsible for most research regulatory compliance at the University.

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 Trust's Chief Compliance Officer is the person responsible, and whose prior approval is required, for any disclosure of the Funds» portfolio securities at any time or to any persons other than those described above.

Pet food manufacturers are responsible for meeting the standards and it's actually up to the individual state feed control officer to enforce each state's laws and compliance.

As a branch of Delta's Property Use and Compliance Division, DCAS and our Animal Control Officers are responsible for ensuring the welfare and responsible pet ownership of the animals in our community.

The Museum at Campbell River will appoint an individual as Privacy Officer, responsible for compliance and the contact information will be available to staff and the public.

Do they have a compliance officer who is responsible for making sure that everybody is following the rules within the firm and do they review their policies and procedures to make sure that they detect those situations?»

Anthony S. Dell is a Partner and Global Chief Compliance & Ethics Officer, responsible for the all regulatory risk management and compliance functions across the global organization, including U.S. and Non-U.S. bCompliance & Ethics Officer, responsible for the all regulatory risk management and compliance functions across the global organization, including U.S. and Non-U.S. bcompliance functions across the global organization, including U.S. and Non-U.S. businesses.

While at Aptean and CDC, Don served as compliance officer, lead the companies» world - wide legal team, and was responsible for corporate, securities / SEC, M&A, commercial, compliance, corporate governance, risk management, and litigation matters.

Enterprise Search & Discovery is designed for Search Managers, line - of - business departmental managers, IT managers, Information & Knowledge Architects, Compliance and Legal Officers, and anyone responsible for organizing, managing, and retrieving internal and / or external information.

He says: «Part of being the Compliance Officer means that I'm responsible for driving a compliance programme through the different businesses within Nestlé in the UK anCompliance Officer means that I'm responsible for driving a compliance programme through the different businesses within Nestlé in the UK ancompliance programme through the different businesses within Nestlé in the UK and Ireland.

Junge also leads SAP's global compliance office and is responsible for all of the company's global insurance matters, as well as acting as the corporate governance officer and secretary to the supervisory board.

A Compliance Officer is the regulatory advisor of a company, responsible for ensuring that the company is aware of and in compliance with relevant reCompliance Officer is the regulatory advisor of a company, responsible for ensuring that the company is aware of and in compliance with relevant recompliance with relevant regulations.

COMPLIANCE OFFICER — January 2010 - present Employers name - Coventry Responsible for continuously reviewing and updating policies and procedures so that they meet the compliance program reqCOMPLIANCE OFFICER — January 2010 - present Employers name - Coventry Responsible for continuously reviewing and updating policies and procedures so that they meet the compliance program reqcompliance program requirements.

Pacific Pearl Group - West Palm Beach FL Chief Compliance Officer - 2012,2013 Self Employed - Trader November 2011 - August 2012 Traded equities and execute various options strategies utilizing research and stock market trends to self sustain my income Kane Reid Securities dba TradeKing, Fort Lauderdale, Florida February 2007 - January 2011 Supervisor of Compliance and Customer Identification Responsible for the superv...

Project Manager / Compliance Officer — Duties & Responsibilities Oversee daily operational aspects of a fast paced, high intensity financial institution Recruit, train, and direct staffs ensuring they understand the brand and adhere to company policies and procedures Manage compliance with regulatory authorities including the SEC, NYSE, and NASD Analyze financial information and present reports to external regulators and internal management Determine compliance issue severity and escalate to senior compliance officer as needed Conduct internal compliance investigations coordinating efforts between various support services Track and maintain detailed records of all compliance inquiries Direct and contribute to special company projects as needed Responsible for the «I Have a Dream Summer Intern Program» ensuring effective talent recruitment Utilize technical expertise while serving as liaison to technology department Assist with database and hardware management, software training, and computer troubleshooting Aid accounting with budgets, accounts payable / receivable, invoice payment, and vendor negotiations Interact with Board of Directors, Chief Executive Officer, and other key figures on a daily basis Partner with various company lines to assess client interests, market trends, and potential sales opportunities Develop a rapport with customers and orient them to various products and services Encourage high customer retention by maintaining friendly, supportive contact with existing clients Study internal literature to become an expert on products and services Provide administrative support including travel arrangements, scheduling, data entry, and other tasks as needed Represent company brand with poise, integrity, and Compliance Officer — Duties & Responsibilities Oversee daily operational aspects of a fast paced, high intensity financial institution Recruit, train, and direct staffs ensuring they understand the brand and adhere to company policies and procedures Manage compliance with regulatory authorities including the SEC, NYSE, and NASD Analyze financial information and present reports to external regulators and internal management Determine compliance issue severity and escalate to senior compliance officer as needed Conduct internal compliance investigations coordinating efforts between various support services Track and maintain detailed records of all compliance inquiries Direct and contribute to special company projects as needed Responsible for the «I Have a Dream Summer Intern Program» ensuring effective talent recruitment Utilize technical expertise while serving as liaison to technology department Assist with database and hardware management, software training, and computer troubleshooting Aid accounting with budgets, accounts payable / receivable, invoice payment, and vendor negotiations Interact with Board of Directors, Chief Executive Officer, and other key figures on a daily basis Partner with various company lines to assess client interests, market trends, and potential sales opportunities Develop a rapport with customers and orient them to various products and services Encourage high customer retention by maintaining friendly, supportive contact with existing clients Study internal literature to become an expert on products and services Provide administrative support including travel arrangements, scheduling, data entry, and other tasks as needed Represent company brand with poise, integrity, and posOfficer — Duties & Responsibilities Oversee daily operational aspects of a fast paced, high intensity financial institution Recruit, train, and direct staffs ensuring they understand the brand and adhere to company policies and procedures Manage compliance with regulatory authorities including the SEC, NYSE, and NASD Analyze financial information and present reports to external regulators and internal management Determine compliance issue severity and escalate to senior compliance officer as needed Conduct internal compliance investigations coordinating efforts between various support services Track and maintain detailed records of all compliance inquiries Direct and contribute to special company projects as needed Responsible for the «I Have a Dream Summer Intern Program» ensuring effective talent recruitment Utilize technical expertise while serving as liaison to technology department Assist with database and hardware management, software training, and computer troubleshooting Aid accounting with budgets, accounts payable / receivable, invoice payment, and vendor negotiations Interact with Board of Directors, Chief Executive Officer, and other key figures on a daily basis Partner with various company lines to assess client interests, market trends, and potential sales opportunities Develop a rapport with customers and orient them to various products and services Encourage high customer retention by maintaining friendly, supportive contact with existing clients Study internal literature to become an expert on products and services Provide administrative support including travel arrangements, scheduling, data entry, and other tasks as needed Represent company brand with poise, integrity, and compliance with regulatory authorities including the SEC, NYSE, and NASD Analyze financial information and present reports to external regulators and internal management Determine compliance issue severity and escalate to senior compliance officer as needed Conduct internal compliance investigations coordinating efforts between various support services Track and maintain detailed records of all compliance inquiries Direct and contribute to special company projects as needed Responsible for the «I Have a Dream Summer Intern Program» ensuring effective talent recruitment Utilize technical expertise while serving as liaison to technology department Assist with database and hardware management, software training, and computer troubleshooting Aid accounting with budgets, accounts payable / receivable, invoice payment, and vendor negotiations Interact with Board of Directors, Chief Executive Officer, and other key figures on a daily basis Partner with various company lines to assess client interests, market trends, and potential sales opportunities Develop a rapport with customers and orient them to various products and services Encourage high customer retention by maintaining friendly, supportive contact with existing clients Study internal literature to become an expert on products and services Provide administrative support including travel arrangements, scheduling, data entry, and other tasks as needed Represent company brand with poise, integrity, and compliance issue severity and escalate to senior compliance officer as needed Conduct internal compliance investigations coordinating efforts between various support services Track and maintain detailed records of all compliance inquiries Direct and contribute to special company projects as needed Responsible for the «I Have a Dream Summer Intern Program» ensuring effective talent recruitment Utilize technical expertise while serving as liaison to technology department Assist with database and hardware management, software training, and computer troubleshooting Aid accounting with budgets, accounts payable / receivable, invoice payment, and vendor negotiations Interact with Board of Directors, Chief Executive Officer, and other key figures on a daily basis Partner with various company lines to assess client interests, market trends, and potential sales opportunities Develop a rapport with customers and orient them to various products and services Encourage high customer retention by maintaining friendly, supportive contact with existing clients Study internal literature to become an expert on products and services Provide administrative support including travel arrangements, scheduling, data entry, and other tasks as needed Represent company brand with poise, integrity, and compliance officer as needed Conduct internal compliance investigations coordinating efforts between various support services Track and maintain detailed records of all compliance inquiries Direct and contribute to special company projects as needed Responsible for the «I Have a Dream Summer Intern Program» ensuring effective talent recruitment Utilize technical expertise while serving as liaison to technology department Assist with database and hardware management, software training, and computer troubleshooting Aid accounting with budgets, accounts payable / receivable, invoice payment, and vendor negotiations Interact with Board of Directors, Chief Executive Officer, and other key figures on a daily basis Partner with various company lines to assess client interests, market trends, and potential sales opportunities Develop a rapport with customers and orient them to various products and services Encourage high customer retention by maintaining friendly, supportive contact with existing clients Study internal literature to become an expert on products and services Provide administrative support including travel arrangements, scheduling, data entry, and other tasks as needed Represent company brand with poise, integrity, and posofficer as needed Conduct internal compliance investigations coordinating efforts between various support services Track and maintain detailed records of all compliance inquiries Direct and contribute to special company projects as needed Responsible for the «I Have a Dream Summer Intern Program» ensuring effective talent recruitment Utilize technical expertise while serving as liaison to technology department Assist with database and hardware management, software training, and computer troubleshooting Aid accounting with budgets, accounts payable / receivable, invoice payment, and vendor negotiations Interact with Board of Directors, Chief Executive Officer, and other key figures on a daily basis Partner with various company lines to assess client interests, market trends, and potential sales opportunities Develop a rapport with customers and orient them to various products and services Encourage high customer retention by maintaining friendly, supportive contact with existing clients Study internal literature to become an expert on products and services Provide administrative support including travel arrangements, scheduling, data entry, and other tasks as needed Represent company brand with poise, integrity, and compliance investigations coordinating efforts between various support services Track and maintain detailed records of all compliance inquiries Direct and contribute to special company projects as needed Responsible for the «I Have a Dream Summer Intern Program» ensuring effective talent recruitment Utilize technical expertise while serving as liaison to technology department Assist with database and hardware management, software training, and computer troubleshooting Aid accounting with budgets, accounts payable / receivable, invoice payment, and vendor negotiations Interact with Board of Directors, Chief Executive Officer, and other key figures on a daily basis Partner with various company lines to assess client interests, market trends, and potential sales opportunities Develop a rapport with customers and orient them to various products and services Encourage high customer retention by maintaining friendly, supportive contact with existing clients Study internal literature to become an expert on products and services Provide administrative support including travel arrangements, scheduling, data entry, and other tasks as needed Represent company brand with poise, integrity, and compliance inquiries Direct and contribute to special company projects as needed Responsible for the «I Have a Dream Summer Intern Program» ensuring effective talent recruitment Utilize technical expertise while serving as liaison to technology department Assist with database and hardware management, software training, and computer troubleshooting Aid accounting with budgets, accounts payable / receivable, invoice payment, and vendor negotiations Interact with Board of Directors, Chief Executive Officer, and other key figures on a daily basis Partner with various company lines to assess client interests, market trends, and potential sales opportunities Develop a rapport with customers and orient them to various products and services Encourage high customer retention by maintaining friendly, supportive contact with existing clients Study internal literature to become an expert on products and services Provide administrative support including travel arrangements, scheduling, data entry, and other tasks as needed Represent company brand with poise, integrity, and posOfficer, and other key figures on a daily basis Partner with various company lines to assess client interests, market trends, and potential sales opportunities Develop a rapport with customers and orient them to various products and services Encourage high customer retention by maintaining friendly, supportive contact with existing clients Study internal literature to become an expert on products and services Provide administrative support including travel arrangements, scheduling, data entry, and other tasks as needed Represent company brand with poise, integrity, and positivity

Project Manager / Compliance Officer — Duties & Responsibilities Oversee daily operations of purchasing, inventory, and shipping departments across multiple industries Recruit, train, and direct staffs ensuring they understand the brand and adhere to company policies and procedures Set and strictly adhere to departmental budgets and schedules Responsible for product inventory and office supplies ordering replacements as needed Research products and negotiate cost effective purchasing agreements Oversee shipping and receiving utilizing UPS, DHL, FedEx, and others Build and maintain information database regarding all shipments, purchases, and related information Strengthen professional relationships with coworkers, customers, and business partners Provide exceptional customer service resulting in repeat business Develop proficiencies in office equipment repair and maintenance Study internal literature to become an expert on products and services Provide administrative support including data entry, IT support, and other tasks as needed Represent company brand with poise, integrity, and positivity

Compliance Officer — Duties & Responsibilities Responsible for identification and investigation of suspicious financial transactions Examine financial records, customer activity, and recommend appropriate remedial measures Maintain comprehensive records detailing ongoing investigations, activity reports, and other pertinent data Coordinate investigations and situation reports with legal department and applicable regulatory authorities Develop proficiencies in industry specific financial monitoring software programs Perform public figure, employee, Advice of Drawing, Dreyfuss and International Cash Letter investigations Design and implement employee training and development materials to enhance team efficacy Serve on Oversight Committee to assist in strategic planning and best practice development Train and oversee teller team and bank support staff ensuring professional operations Study internal literature to become an expert on products and services Craft effective presentations and proposals regarding compliance best practices and client investigations Recruit, train, and direct staff ensuring they understand the brand and adhere to company policies and procedures Strictly adhere to budgets and schedules Represent company brand with poise, integrity, and Compliance Officer — Duties & Responsibilities Responsible for identification and investigation of suspicious financial transactions Examine financial records, customer activity, and recommend appropriate remedial measures Maintain comprehensive records detailing ongoing investigations, activity reports, and other pertinent data Coordinate investigations and situation reports with legal department and applicable regulatory authorities Develop proficiencies in industry specific financial monitoring software programs Perform public figure, employee, Advice of Drawing, Dreyfuss and International Cash Letter investigations Design and implement employee training and development materials to enhance team efficacy Serve on Oversight Committee to assist in strategic planning and best practice development Train and oversee teller team and bank support staff ensuring professional operations Study internal literature to become an expert on products and services Craft effective presentations and proposals regarding compliance best practices and client investigations Recruit, train, and direct staff ensuring they understand the brand and adhere to company policies and procedures Strictly adhere to budgets and schedules Represent company brand with poise, integrity, and compliance best practices and client investigations Recruit, train, and direct staff ensuring they understand the brand and adhere to company policies and procedures Strictly adhere to budgets and schedules Represent company brand with poise, integrity, and positivity

Mr. Towle is Chief Financial Officer and Chief Compliance Officer and is responsible for corporate finance and strategy, tax structuring, operations and cCompliance Officer and is responsible for corporate finance and strategy, tax structuring, operations and compliancecompliance.

Geri Brewster Named Chief Compliance and Risk Officer On January 19, 2016 HomeUnion announced that they had hired Geri Brewster as Chief Compliance and Risk Officer and that in this position, she would be responsible for Human Resources, Business Development and HomeUnion Lending, Inc. (HomeUnion's recently created mortgage brokerage subsidiary).

David Stifter, Chief Compliance Officer for Colony Realty Partners, LLC, is primarily responsible for managing regulatory compliance, internal policies and procedures, as well as financial forecasting and portfolio strategy andCompliance Officer for Colony Realty Partners, LLC, is primarily responsible for managing regulatory compliance, internal policies and procedures, as well as financial forecasting and portfolio strategy andcompliance, internal policies and procedures, as well as financial forecasting and portfolio strategy and analysis.