Chief Compliance Officer - Swap Dealer
... report · Serve as a lead compliance coordinator for regulatory requests and examinations (CFTC & NFA) · ...
... report · Serve as a lead compliance coordinator for regulatory requests and examinations (CFTC & NFA) · ...
... of different policy types and compliance issues relating to those products.Regulatory and market awareness: Whilst you will be operating as a Compliance and Complaints Officer, the AXA XL Compliance Team does so much more ...
... existing and upcoming scheme and regulatory rules. T he role ensures there is a positive risk and compliance culture where compliance with obligations are understood and ...
... Assurance (QA) assessments related to regulatory compliance measures for both internal and ... internal reviews of the regulatory compliance QA Framework with the Customer ... similar role within an energy regulatory compliance environment and have an in- ...
... with drafting of reporting of regulatory matters for senior executive management ... with knowledge of the Australian Regulatory environment within financial services. You ...
... such changesEnsure accurate documentation in compliance with QMS requirementSupport the regulatory activities relating to specific portfolio ...
... business leaders in preparation for regulatory exams audits inquiries. This role reports to the Head of Compliance and Operational Risk in Australia, ...
... environment. Role Responsibilities: Providing licensing, regulatory, operational risk and compliance support on key transactions, including ...
... environment.Role Responsibilities: Providing licensing, regulatory, operational risk and compliance support on key transactions, including ...
... Policy and humm group’s regulatory compliance and monitoring commitments. As a Compliance Advisor, you will use your ... and websites to ensure compliance with regulatory requirements Perform compliance investigations and assessments, including conducting ...