In this role, the selected candidate will provide U.S. Trust and other Global Wealth and Investment Management (GWIM) personnel with advice and guidance for complying with banking and trust laws and regulations.
In this role, the selected candidate will be responsible for interacting with FIC/BRM employees, desk managers and supervisors to address escalations and ensure adherence to the overall supervisory program as a first line of defense.
In this role, you will be responsible to provide the initial Licensing review on the component or program requested by the developers, discuss any issues or complexities with SAMI's Legal contact and facilitate any discussions with the developers.
In this role, the selected candidate will assist the Compliance Executive in maintaining and communicating regulatory changes, advising and directing business leaders to ensure that regulatory requirements are addressed in their respective procedures and controls so that their day to day activities operate in a compliant manner.
In this role, the candidate will perform regularly scheduled internal compliance audits to ensure that software licenses deployed across the enterprise are properly licensed and used in accordance with the contract or EULA terms.
In this role, the selected candidate will establish work priorities, assign deliverables and resolve issues with Operations and Project teams, temporary help and/or project-specific dedicated personnel to assure client satisfaction, customer satisfaction.
As a member of the Bessemer Compliance Group, this individual will report directly to the firms Director of Investment Management Compliance (RIA and Mutual Fund CCO) and be part of a team that is responsible for administering the compliance programs for the firms proprietary mutual funds with AUM in excess of $30 billion USD, their investment adviser Bessemer Investment Management, LLC, and other related investment management activities of Bessemer Trust.
The Compliance Manager is responsible for engaging in activities to contribute to the independent compliance oversight of Front Line Unit (FLU) and Control Function (CF) performance and any related third party/vendor relationships in alignment with the Compliance Risk Management (CRM) Program and the Global Compliance Enterprise Policy (GC Policy).
In this position, you will monitor and report on Orthos compliance with SOX and IT General Controls. Work with IT and the Business to continually improve Orthos risk posture and ensure an effective and reliable control foundation and supporting processes.
The Quality Systems / Compliance Manager is responsible for monitoring and maintaining the plants Quality systems to ensure compliance to regulatory, federal and local laws. Assists in the identification and achievement of facility Quality KPI's through appropriate corrective/preventive actions and continuous improvement initiatives.
In this role, you will be responsible for engaging in activities to contribute to the independent compliance oversight of Front Line Unit ("FLU") and Control Function ("CF") performance and any related third party/vendor relationships in alignment with the Compliance Risk Management ("CRM") Program and the Global Compliance Enterprise Policy (GC Policy).