*Market Insights - Surveillance & Financial Markets Q3 2024* Please see below our latest financial markets & surveillance intel for legal & compliance functions, if you may be interested in discussing this further please feel free to get in touch with me via ben.hunt@jscareers.com.au or one of my team below. #financialmarkets #compliance #legal #riskmanagement #governance #compliancejobs #marketsurveillance #stockbroking #investmentbanking Jacob Smith Henry Smith Mark Reece Troy Geddes Georgia Thomas
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Latest reco from the DoJ about the needed corporate compliance programs ! A must read for compliance officers and anticorruption experts! https://lnkd.in/ehkhAgiF
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At Prime, we're more than compliance solutions. We're innovators, strategists, and your trusted partners in navigating all facets of ASIC compliance. Discover the Prime difference. https://lnkd.in/gnjBENiH #PrimeAdvantage #BeyondCompliance #compliance #business #accountants
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It's Compliance test o'clock, let's see who'll get the right answer. #LeadCollective #Legalconsulting #Compliance #Kyc #Aml #LawyersintheUk
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Compliance with regulatory requirements in financial services hiring is essential for several reasons. Firstly, non-compliance can lead to severe legal penalties, including fines, sanctions, and legal proceedings, which can significantly impact a firm's financial stability and reputation. Regulatory violations may also result in reputational damage, eroding client trust and confidence in the institution's integrity and reliability. Compliance with hiring regulations also helps to foster a culture of fairness, transparency, and accountability within financial institutions. By adhering to anti-discrimination laws and implementing robust screening processes, firms can mitigate the risk of discriminatory practices and promote diversity and inclusion in their workforce. From an operational perspective, maintaining compliance with licensing and qualification requirements ensures that employees possess the requisite skills and expertise to perform their roles effectively, thereby safeguarding the interests of clients and investors, and ultimately contributing to the overall stability and integrity of the organisation too. #FinancialCompliance #RegulatoryRequirements #FinancialServices #DiversityandInclusion #OperationalCompliance #Staffing #Recruitment
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Compliance can get confusing: here are key components your firm needs in place to begin working towards FTC compliance! 📜🔍 Need help navigating the compliance landscape? Visit us at https://lnkd.in/eUZ526vt #ComplianceHelp #FTCCompliance #SafeboxTechnology
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Navigating intricate and ever-changing regulatory landscapes places a premium on corporations' ability to align with compliance and disclosure obligations. This shift has elevated in-house counsel into pivotal management roles. In this capacity, they are responsible for ensuring corporate adherence to multifaceted domestic and international regulations, encompassing stringent mandates concerning insider trading. From a business perspective, investing in robust internal controls proves significantly more cost-effective than the potential expenses incurred in defending against criminal or regulatory actions. #corporatelawyer
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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
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Compliance can get confusing: here are key components your firm needs in place to begin working towards FTC compliance! Learn more here: https://lnkd.in/gTYv7x-6 #FTCCompliance #ComplianceMadeEasy #RegulatoryCompliance #ComplianceGuidance #BusinessCompliance #ComplianceTips #SecureYourBusiness
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Shout out to all the Compliance Professionals out there who are dedicated to upholding integrity, transparency, and ethics in organizations every day. Your efforts, especially in leading the charge in combating financial crime, and driving a strong culture of compliance, make a real difference. Keep up the great work! #compliance #complianceofficers
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