Chief Compliance and Ethics Officer

Maspeth,New York

systems to meet regulatory compliance and best practices Unified Compliance and Quality Resource teams ​​​ Professional Experience 03/2015 to Current Chief Compliance and Ethics Officer Responsible for oversight... Quality Enhancement and Compliance Officer before becoming Chief Compliance and Ethics Offices in 2016 ,  She serves as the Chair of the NYSACRA Quality Committee and is a...Professional Profile Bridget Waldron serves as Chief Compliance and Ethics Officer in the Division of Person Centered Services at YAI , In this role , she is responsible

Chief Compliance Officer

Four Points Capital Partners East Amherst,New York

Experience Chief Compliance Officer , 07/2017 to Current Four Points Capital Partners – New York , New York Firm with regulatory approval to conduct general Retail Securities , Municipals , Options...of business and product lines . Recruited 7 new RR's and one 5 member IA Team in 2018 . Chief Compliance Officer , 01/2006 to 07/2017 Niagara International Capital Limited – Clarence , New York Firm...securities issues by an AMLAW 100 law firm on a per - project basis . Currently serve as Chief Compliance Officer (CCO) for both Wharton Mid Market Securities LLC , Milford , CT since January 2014) and

Chief Compliance Officer

Collierville,Tennessee

significant Medicare and Medicaid audits , Professional Experience Chief Compliance Officer June 2010 to January 2013 Accredo Health and Liberty Medical , divisions...id & HIPAA compliance Expertise in Joint Commission Accreditation Internal/government audit preparation FDA drug safety guidelines Strategic planning Process improvements Board of director presentations...agreement , Investigated any violations of compliance policy , summarizing investigative findings to senior leadership and identifying the best corrective actions to

Chief Compliance Officer

Leesburg,Florida

243) , Work History ORLANDO & NORTHERN RAILWAY , Chief Compliance Officer Tavares , FL 01/2017 , 03/2020 Served as the...Inspection , Staff Supervision , FRA Compliance Seasoned Compliance Officer with 10 years of experience working collaboratively with top leaders and staff to...Professional Summary OPERATIONS OFFICER / TRANSPORTATION PROFESSIONAL Service Coordination Rail Freight & Passenger Transport Results , Focused professional with a progressive career

Chief Compliance Officer

Louisville,Colorado

Management (CCM) January 2013 to February 2016 Chief Compliance Officer Boulder , CO Administering and maintaining the firm's compliance program in line with the Investment Advisors Act...monthly review of employee email , CCM November 2009 to February 2016 Chief Information Officer and Operations Manager Boulder , CO Responsible for designing and building...managing all aspects of compliance program review including internal review , compliance consultant mock audits , quarterly client compliance questionnaires

Chief Compliance and Privacy Officer

Lutz,Florida

PROVEN RESULTS IN OPERATIONS , COMPLIANCE , AND QUALITY Professional Experience Chief Compliance and Privacy Officer Nov 2010 to Current Freedom and Optimum Health Care... , and performance management , Reports directly to the Chief Operating Officer , Project Management , Created and managed the first... financial audits , and CMS Monitoring activities , Director of Quality , Audit , and PMO Apr 2007 to Sep 2010 Tampa

Chief Compliance and Ethics Officer

Maspeth,New York

Professional Summary Skills Work History Chief Compliance and Ethics Officer , 03/2015 to Current Young Adult Institute Inc , (YAI) – 460 West 34th Street

General Counsel and Chief Compliance Officer

Louisville,Kentucky

, state and local regulatory authorities Work History General Counsel and Chief Compliance Officer , 01/2021 to Current LG&E And KU Energy LLC – Louisville , ...(4) significant familiarity with PPL , Electric Utilities and its Executive and Officer teams , Skills Leading and managing organizations and people Developing and i..., and hiring and managing outside counsel , Advising executive and officer teams in every aspect of the business , Delivering successful results in 125+

VP, General Counsel & Chief Compliance Officer

Tampa,Florida

General Counsel and Chief Compliance Officer with 20 years of corporate legal experience , Responsible for all aspects of legal , compliance , ... , General Counsel & Chief Compliance Officer Orlando , Florida 05/2011 , Current As chief legal advisor to executive management ...5 , 5 million consumers , Chief legal advisor and business partner to senior and executive management , while also working with

Senior Global Compliance Officer

Bedminster,New Jersey

Ingersoll Rand April 2009 to Current Senior Global Compliance Officer Piscataway , NJ This role addresses a wide range of compliance related topics for a , 15B diversified...Support other Compliance initiatives/projects , as required , Training and Communications Manager reporting directly to the Director of Global Compliance and Assistant...implementing of comprehensive ethics and compliance training and communication plans to employees worldwide to ensure compliance with legal requirements and compliance policies (i , e