ALTA IT Services, LLC’s Post

#hiring Head of Compliance, Product & Regulatory Counsel, New York City, United States, fulltime #jobs #jobseekers #careers #NewYorkCityjobs #NewYorkjobs #Administration Apply: https://lnkd.in/gHevx3bb As the Head of Compliance & Legal at Maza, you will play a critical role in ensuring that our operations align with all applicable laws, regulations, and industry standards. Reporting directly to the CEO, you will collaborate with cross-functional teams to integrate compliance measures into our products and processes. This role requires a seasoned professional with a deep understanding of banking compliance, risk assessment, and legal matters. Your impact will extend across all facets of the company, and you will be instrumental in managing relationships with banking partners and regulatory authorities.ResponsibilitiesBanking Partnerships Lead the process for proposing changes to our existing banking program. Build and nurture relationships with existing and potential banking partners. Compliance Management: Ensure that Maza's products are consistently compliant with all applicable laws and regulations. Manage relationships with external vendors handling compliance needs. Provide expert guidance on banking compliance matters. Risk Assessment and Mitigation: Conduct thorough risk assessments to identify and mitigate compliance risks associated with our operations. Establish robust monitoring and reporting mechanisms to track compliance. Cross-Functional Collaboration: Collaborate closely with legal, risk management, and product development teams to integrate compliance into every part of the company.Regulatory Engagement: Foster relationships with regulatory authorities. Actively engage in industry discussions and stay updated on regulatory changes impacting our business. Monitor and evaluate the evolving regulatory landscape to adapt compliance strategies accordingly. Legal Support: Work with outside counsel to review and evaluate compliance issues/concerns. Provide legal support for all regulatory, policy, litigation, licensing, and legislative matters. Licensing and Permits: Ensure compliance with all relevant licensing and permits. Juris Doctor

I love doing CDD on corporate clients …… said no one ever 🙄 Anyone carrying out client due diligence checks on companies will know how painful this process is right?! Never mind the fact that this information is rarely publicly available, even when you ask the client to confirm who the beneficial owners are, half the time they don’t understand what you’re asking them for! Plus the money laundering regulations specifically state that you can not solely rely on the Persons with Significant Control (PSC) or the confirmation statement at Companies House. So how can you make this process less painful? As a starting point ➡️ see what you can find through publicly available sources, check companies house, websites, google searches ➡️ if you use an electronic verification provider see what information they can offer - for UK companies they’ll be able to gather all the information for you and you can then send it to the client to confirm if that information is correct. Remember also the Legal Sector Affinity Group (LSAG) guidance has provided clarity on what you should be doing to “verify” beneficial owners, meaning you should now be carrying out the same verification checks on a beneficial owner as you would an individual client. So it’s important you know what your firm’s policy and procedure is in respect of this. #CorporateCDD #IFeelYourPain #UBO

You’ve never seen anything like this before… Our Outsourced Compliance Department services are something I have never seen offered in the world of compliance before. Tiered to match with the size of your business, for a price cheaper than hiring an in-house CCO you’ll receive access to a CCO and analysts. The best part? As part of an outsourced team, we grow with you, so you never have to worry about hiring again! Our compliance nerds keep up to date with all the rule changes, and can not only help you understand them but also show you how to implement them properly within your business. They get to do what they love, and you get the support of industry experts. So what’s the catch? Well since this is such a hands on service, it means we only have 2 places available each month. Want to grab one of our spots for March? Send me a message with the word “COMPLIANCE” and I’ll get you more info. Or watch this quick video to find out more: https://lnkd.in/eWeFKNQ8

https://lnkd.in/dbr5NW7G Compliance Assistant Job Description JOB DESCRIPTION The Compliance Assistant position is an entry level position where you will serve as liaison between a number of parties: our clients, employees, regulators, and third-party vendors concerning our regulatory compliance with Securities Laws and Regulations. Reports to: Chief Compliance Officer..... #PA2ASSISTRevolution #GlobalAssistantConnect #BusinessEmpowerment #VirtualPAPlatform #SkillMatchmaking #EfficientAssistance #QualityServiceConnection #SimplifyDelegateThrive #PA2ASSISTImpact #EmpoweringCollaboration

Limitations live only in our minds. Let's together explore how our possibilities become limitless. Connect with our industry specialists for confidential career discussions. #assetmanagement #legal #complianceoffer #lawdegree #LLB #regulatorycompliance #fundmanagement #MAS #fundmanagement #regulatoryframework #legalframework #technicalknowledge #regulatoryrequirements #sgcareers #singaporejobs #2024hiring #careeropportunities #AmethystPartners

Compliance Officer's Role in the Financial Industry: Responsibilities: Ensure legal and regulatory compliance, manage risks, and uphold the company's reputation. Compliance Landscape: Navigate extensive and evolving regulations in the financial services industry. Importance of a Compliance Officer Reporting to Senior Management: Timely Decision-Making: Facilitates quick responses to compliance issues to mitigate risks. Transparent Communication: Ensures effective communication for informed decision-making and maintaining trust. Strategic Alignment: Allows the compliance officer to actively participate in aligning strategic goals with regulatory requirements. If you are looking for a Compliance officer, then contact at https://lnkd.in/dUhPrrGC today! #FinancialRegulationConsultant #BrokerDealer #InternationalBusiness #InvestmentAdvisory #RemediationandLookbackReviews #AntiMoneyLaundering #ComplianceTraining #ComplianceOfficer #FinancialLaws #FinancialRiskManagement

Every decision and action we take ripples into the future. Connect with our industry specialists for confidential career discussions. #AssetManagement #Legal #ComplianceOfficer #LLB #LawDegree #RegulatoryCompliance #FundManagement #MAS #Regulatory #FundManagement #TechnicalKnowledge #LegalFramework #RegulatoryEnvironments #SGCareers #Singaporejobs #2024hiring #2024jobs #CareerOpportunities #AmethystPartners

#hiring Compliance Specialist IV, Charlotte, United States, fulltime #jobs #jobseekers #careers #Charlottejobs #NorthCarolinajobs #Legal Apply: https://lnkd.in/gAVfEpXz Compliance Specialist IVThis senior level position is responsible for providing leadership, vision and direction to multiple business units with respect to compliance with laws and regulations. Providing this leadership, vision and direction requires the position to actively seek and proactively recognize new laws and regulations that will impact business units. This position will provide ongoing guidance as well as lead and manage major implementation processes, beginning with reading, interpreting and developing an in depth knowledge and understanding of the regulation and ending with a successful implementation across all impacted business units. This also includes providing oversight to multiple business units with their ability to detect, assess, and respond to emerging risks.Position Responsibilities:Regulatory ComplianceLead and manage corporate-wide implementation of new or revised regulatory requirements.Read, analyze, and develop an in-depth knowledge of the regulation to determine requirements/mandates.Compliance Subject Matter Expert on regulations within assigned area of responsibility.Provide oversight, recommendations, and direction team members.Assist Line of Business with a gap analysis to compare the current state with the new required state.Assist Line of Business with the development of an implementation plan - ensuring requirements/mandates are met by implementation date.Answer questions make recommendations and address issues identified during the implementation phase.AnalyticsPerforms analysis in managing risks in existing operations resulting from industry lawsuits, settlements, etc. associated with regulatory violations.Reporting/Project ManagementIndependently identify projects and tasks to be completed and lead teams and solo efforts to complete act as a primary contact with business unit liaisons with respect to dashboard reviews; develop materials for Corporate-wide committees, as needed.Testing/ExamsAct as a primary contact for federal regulatory exams, internal audits, external audits, and enterprise-level reviews; manage these audits and exams on a proactive project basis to ensure that responses submitted are appropriate and accurate and adequately address the request. Assist business units with responses, as necessary.Collaborate Line of Business and Compliance to assist in defining the appropriate scope control exam by providing guidance regarding emerging risks and new or revised regulatory changes that may impact the business.Review work papers, answer file specific questions, and assist and advise on the drafting of the final report as needed.Executes periodic self-monitoring or testing to determine whether policies and procedures are being followed.TrainingAdvise area

#hiring Compliance Specialist IV, Charlotte, United States, fulltime #jobs #jobseekers #careers #Charlottejobs #NorthCarolinajobs #Legal Apply: https://lnkd.in/gAVfEpXz Compliance Specialist IVThis senior level position is responsible for providing leadership, vision and direction to multiple business units with respect to compliance with laws and regulations. Providing this leadership, vision and direction requires the position to actively seek and proactively recognize new laws and regulations that will impact business units. This position will provide ongoing guidance as well as lead and manage major implementation processes, beginning with reading, interpreting and developing an in depth knowledge and understanding of the regulation and ending with a successful implementation across all impacted business units. This also includes providing oversight to multiple business units with their ability to detect, assess, and respond to emerging risks.Position Responsibilities:Regulatory ComplianceLead and manage corporate-wide implementation of new or revised regulatory requirements.Read, analyze, and develop an in-depth knowledge of the regulation to determine requirements/mandates.Compliance Subject Matter Expert on regulations within assigned area of responsibility.Provide oversight, recommendations, and direction team members.Assist Line of Business with a gap analysis to compare the current state with the new required state.Assist Line of Business with the development of an implementation plan - ensuring requirements/mandates are met by implementation date.Answer questions make recommendations and address issues identified during the implementation phase.AnalyticsPerforms analysis in managing risks in existing operations resulting from industry lawsuits, settlements, etc. associated with regulatory violations.Reporting/Project ManagementIndependently identify projects and tasks to be completed and lead teams and solo efforts to complete act as a primary contact with business unit liaisons with respect to dashboard reviews; develop materials for Corporate-wide committees, as needed.Testing/ExamsAct as a primary contact for federal regulatory exams, internal audits, external audits, and enterprise-level reviews; manage these audits and exams on a proactive project basis to ensure that responses submitted are appropriate and accurate and adequately address the request. Assist business units with responses, as necessary.Collaborate Line of Business and Compliance to assist in defining the appropriate scope control exam by providing guidance regarding emerging risks and new or revised regulatory changes that may impact the business.Review work papers, answer file specific questions, and assist and advise on the drafting of the final report as needed.Executes periodic self-monitoring or testing to determine whether policies and procedures are being followed.TrainingAdvise area

Ready to take your business to the next level with a virtual assistant? Great decision! But before you dive into the world of enhanced productivity and streamlined operations, there's a checklist you'll want to tick off to ensure a smooth and secure collaboration. 1️⃣ Service Agreement Contract - The foundation of a successful partnership. This ensures both parties are clear on the scope of work, expectations, and deliverables. A must-have for peace of mind! 2️⃣ Business Insurance - Protecting your business is non-negotiable. Ensure your virtual assistant has the right coverage to safeguard against unforeseen circumstances. 3️⃣ Data Processing Agreement - In our digital age, data is everything. This agreement outlines how personal data is processed, keeping you compliant and secure. 4️⃣ ICO Registration - For UK-based businesses, registering with the Information Commissioner's Office is key to data protection compliance. Stay on the right side of the law! 5️⃣ AML Registration - If your VA will handle bookkeeping or accountancy, Anti-Money Laundering registration is a must. Embarking on a journey with a virtual assistant can transform your business, but doing it right is crucial. Use this checklist to ensure you're set up for success from the get-go! #VirtualAssistant #BusinessGrowth #OnboardingChecklist #BusinessSupport #PearsonPA #StreamlineSuccess #Compliance #DataProtection #BusinessInsurance #AMLCompliance #ICORegistration