In this role, you will performs risk assessments, technical security reviews, and vendor security assessments. Works with security operations to collect evidence and documentation into a management report containing issues, determine recommendations and remediation.
In this role, the selected candidate will review daily control reports for indications of compliance violations, financial crime or other business risks; maintain knowledge of mutual fund compliance requirements and update business practices and controls as may be necessary.
The Compliance Analyst will report to the Compliance Director responsible for overseeing the Advisers compliance program and will also provide support to the Chief Compliance Officer in connection with the Funds compliance program. The candidate will work closely with other members of the Compliance Department and with individuals in the line of business.
In this role, you will be responsible for reviewing escalated alerts at a high volume to identify true matches including: the results of periodic systematic accountholder screenings with PEP, sanctions and negative media, real-time review of online transactions and the review of specific issues escalated from business units
In this position, you will analyze insurance laws and regulations, determine applicability to the company products and programs, draft language that meets regulatory requirements, and prepare and negotiate filing approvals.
In this role, the selected candidate will ensure transactional activities comply with government regulations and internal procedures by conducting gate reviews for technical data exports, foreign travel, foreign visits, and export/import shipments.
In this role, the selected candidate will be responsible for developing, implementing and administering plans, policies, techniques, and services ensuring ongoing compliance and security of company information resources.
In this role, the selected candidate will be responsible for supporting compliance with government regulations including, but not limited to, the Drug Supply Chain Security Act (DSCSA) and Sarbanes Oxley as it relates to Sales Operations.
The Audit and Risk Assessment Analyst partners with IT groups, business groups, and project teams to perform security risk analysis and compliance assessments for applications, infrastructure, and vendor / third parties.
In this role, the selected candidate will participate in administration, planning, strategy, outreach, change management board services, change management operations, tool administration, system integration, and security assessments.
In this role, the selected candidate will work with various levels of the company team and client personnel to complete daily/weekly client service activities; analyze data and import data into our software platform.
In this role, the selected candidate will collaborate with Hospital Privacy Officers and HIM staff to investigate, mitigate and resolve HIPAA Privacy related incidents; lead Corporate Compliance and Hospital Privacy Officer Committee Roundtable meetings.