Sentences with phrase «chief compliance officer in»

Summary of Position: Provides assistance and support to the Paralegal / Compliance Specialist while under the direction of General Counsel / Chief Compliance Officer in a variety of legal, regulatory and compliance matters affecting all of the Company's busin...

As well as this, Kim is particularly proud of being made chief compliance officer in addition to general counsel in 2015, and his successful actions upon assuming this position.

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

Steven Labriola, the chief compliance officer in Nassau's Office of Management and Budget, was believed to be interested in a run but is now eyeing other roles, one of the GOP sources said.

Labriola, the $ 172,845 - a-year chief compliance officer in Nassau's Office of Management and Budget, was unavailable for comment, according to a county spokesman.

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.

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

As to DOL's 60 - day deadline to respond, Scalia, who previously served as DOL's chief legal officer and is the son of the late Supreme Court Justice Antonin Scalia, told ThinkAdvisor that «We expect to seek a means fairly promptly to be resolved in advance of the [April] compliance deadline.»

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.

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.

Karen Gifford, chief compliance officer at Ripple Labs, summarized the opportunity for digital identity management in a Huffington Post op - ed.

Prior to assuming her current position in June 2015, she served as general counsel, secretary and chief compliance officer.

She joined the company in 2010 as general counsel, secretary and chief compliance officer after 17 years at law firm Cravath, Swain & Moore.

Anthony W. Muhlenkamp President & Chief Compliance Officer — Client Service Team Educational Background: Mr. Muhlenkamp received a Bachelor of Science in Industrial Management, Mathematics and Economics from Carnegie Mellon University (CMU) in 1990.

«As a company operating at the intersection of technology and finance, it's imperative that we intimately understand our role as an innovator in a developing space,» Antoinette O'Gorman, Chief Compliance Officer at Ripple Labs, said.

In your 20s, all stock index fund investments might seem like a fine idea, as short - term volatility matters less than long - term appreciation when a portfolio has decades to grow, says Phillip J. Deerwester, portfolio analyst and chief compliance officer at TGS Financial Advisors in Radnor, PennsylvaniIn your 20s, all stock index fund investments might seem like a fine idea, as short - term volatility matters less than long - term appreciation when a portfolio has decades to grow, says Phillip J. Deerwester, portfolio analyst and chief compliance officer at TGS Financial Advisors in Radnor, Pennsylvaniin Radnor, Pennsylvania.

He entered the private sector in 1997 as the deputy general counsel and chief compliance officer.

The lawsuit seeks to void the content of a memo drafted in February by Joshua Toas, chief compliance officer at SUNY RF, the university system's nonprofit research arm, which concluded that Dr. Haldar had shown «a reckless disregard for the rules and policies that govern our business.»

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 PresidenIn 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 Presidenin compliance to the directive of the Acting President.

Jeff Silvester chief operating officer at AIQ said: «AggregateIQ works in full compliance within all legal and regulatory requirements in all jurisdictions where we operate.

The legislation in question would enshrine the CEO position into law, create a rotating chairmanship between the two states, create a chief ethics and compliance officer, reaffirm the authority's transportation - centric mission, and so on.

Theranos has taken steps to fix the problems, including hiring a new chief compliance officer and appointing an independent board committee, Holmes said in the interview.

To have the USDA find that an organization as large and complex as AGI is in full compliance during such a comprehensive inspection further demonstrates that Alpha Genesis provides superior care to the monkeys at its facilities, and reflects the dedication and strong work ethic of the staff who do this important and challenging work,» according to Dr. Greg Westergaard, AGI President and Chief Executive Officer.

Sean Conley (M.A. in administration and supervision from Notre Dame of Maryland University, and a B.A. from the University of Pittsburgh) serves as chief academic officer and oversees the district's departments of Teaching and Learning, College and Career Readiness, Instructional Leadership, Specialized Services, and Strategy and Compliance.

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.

* Alex Cestero, SVP, General Counsel, and Chief Compliance Officer: Mr. Cestero has served in his role since October 2008.

Ben Peters, a CFP and chief compliance officer for Burton Enright Welch in the Bay Area, reported on his field trip to Seafarer in his Q1 shareholder letter.

Bob is the lead portfolio manager, Chief Compliance Officer, and a principal of PDS Planning in Columbus, Ohio, and a long - time contributor to the FundAlarm and MFO discussion boards.

Generali Global Assistance («the Company»), a leader in the assistance industry since its founding in 1963 and part of the global Generali Group, today announced the hiring of Tarik Ajami as General Counsel and Chief Compliance Officer, supporting all Generali business lines in North America.

In fact, HP's Ashley Watson, vice president and Chief Ethics and Compliance Officer, says of the bill, «As an industry leader in product lifecycle improvements, HP does not allow the export of e-waste from developed countries to developing countrieIn fact, HP's Ashley Watson, vice president and Chief Ethics and Compliance Officer, says of the bill, «As an industry leader in product lifecycle improvements, HP does not allow the export of e-waste from developed countries to developing countriein product lifecycle improvements, HP does not allow the export of e-waste from developed countries to developing countries.

Domenick joined Cunningham Lindsey in June of 2015 as Global General Counsel & Chief Compliance Officer from AIG, where he served as Senior Vice President, Global Head of Litigation Management.

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Corporate Counsel highlights innovations in ethics and compliance at the company Convercent, spearheaded by Katie Smith, its chief ethics & compliance officer.

Doug has joined Beacon Capital Partners, a real estate firm also in Boston, as their Chief Compliance Officer.

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.

For the past 27 years, Craig has held in - house positions at various consumer finance companies, most recently serving as general counsel and chief compliance officer of Caliber Home Loans, Inc., a residential mortgage banking company.

Before joining Ares in 2011, Mr. Dell served as Chief Compliance Officer of Russell Investments and prior to his tenure at Russell Investments, he served in various roles at Fidelity Investments, including legal, compliance, institutional relationship management, and product deCompliance Officer of Russell Investments and prior to his tenure at Russell Investments, he served in various roles at Fidelity Investments, including legal, compliance, institutional relationship management, and product decompliance, institutional relationship management, and product development.

Julie has worked in Compliance and Risk Management roles in Financial Services for over 31 years including Chief / Head of Compliance roles across Westpac Banking Corporation, Bank of Queensland and as Chief Risk and Compliance Officer for GE Capital Insurance in Australia and New Zealand.

Elliot Miller is General Counsel and Chief Compliance Officer of Wowza Media Systems, a global leader in streaming video software and services.

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In 2013, 87 percent of general counsel and chief legal officers ranked ethics and compliance as an increasingly important issue, according to the ACC 2013 CLO Survey.

The new compliance structure will be headed up by the recently installed group GC and chief compliance officer Gerson Zweifach, who was brought in this February to steer News Corp's efforts to shake up its governance following the phone - hacking scandal.

News Corporation has appointed five group chief compliance officers (GCCOs) in a shake - up of its global compliance structure, including an ex-US federal prosecutor and a former lawyer at the Securities and Exchange Commission (SEC).

In the wake of the scandal that shook the football world, FIFA's first - ever chief compliance officer talks exclusively about his new role

«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.

Prior to joining Ochresoft, Sanderson was the chief operating officer of legal services business Cordery, the LexisNexis ABS that specialises in helping GCs manage compliance.

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 CASIn 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 CASin order to settle several alleged violations of CASL.

We are well - versed in placing lawyers across the full spectrum of technology firms, having identified talent ranging from general counsel to chief privacy officers and chief IT counsel to chief compliance officers.

Our in - house practice has seen steady recent growth and covers search mandates at a senior level, from sole in - house counsel to general counsel and chief compliance officers.