Compliance Search jobs in New York, NY

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Financial Operations Examiner – Market Regulation, Trading &...
Finra 25 reviews - New York, NY
Search Firm Representatives. Analyze and evaluate new products to determine compliance with established rules and regulations....
Sponsored by Finra - 2 days ago
Surveillance Director, Member Regulation, ROOR - New York, N...
Finra 25 reviews - New York, NY
Search Firm Representatives. Provide FINRA members with timely responses to financial, operational and compliance related inquiries....
Sponsored by Finra - 19 days ago

Compliance Analyst

AllianceBernstein 34 reviews - New York, NY
Familiarity with compliance issues relating to social media. Regulatory background in compliance, legal, audit, or risk management....

VP Executive Recruiter Compliance

Citi 2,423 reviews - Long Island City, NY
Adheres to all compliance and regulatory requirements. Manages full life cycle recruiting process for Citi Compliance....

Compliance Officer GIU AML Investigations

Citi 2,423 reviews - New York, NY - +1 location
Compliance and Control. Independently conducting searches, gather data and record evidence from Citi internal systems, the internet and commercial databases....

Executive Recruiter - Legal and Compliance

The Execu|Search Group 43 reviews - New York, NY
Identifying new and creative ways to source highly qualified legal and compliance professionals within the financial services industry....

Compliance Examiner - Member Regulation, Sales Practice - Ne...

Finra 25 reviews - New York, NY - +2 locations
Search Firm Representatives. And supervisory and compliance policies, procedures, internal controls and systems to determine compliance with established...

Manager, Financial Services

Prudential 703 reviews - Flushing, NY - +5 locations
Business Ethics & Compliance Awareness. Search firms or agencies should email Staffing at staffingagencies@prudential.com for more information about doing...

Compliance Analyst

Prudential 703 reviews - Newark, NJ
This Compliance Analyst position in the Data, Projects, and Reporting group in Insurance Division Compliance will be responsible for a variety of duties:....

Intermediate Compliance Analyst FIU AML Investigations

Citi 2,423 reviews - Long Island City, NY
Compliance and Control. Excellent research skills including experience with online search tools. Liaise with other FIU units, Advisory, Business Compliance...

Senior Client Due Diligence Analyst

RBC 279 reviews - New York, NY
Word, Excel and Outlook, internet search engines. Maintain highest standards of audit and compliance requirements....

Compliance Officer AML Investigations

Citi 2,423 reviews - Long Island City, NY
Compliance and Control. Media search results, copies of statements/checks, results from internal system searches etc.)....
Financial Operations Examiner - Member Regulation, ROOR - Ne...
Finra 25 reviews - New York, NY
Search Firm Representatives. Analyze and evaluate new products to determine compliance with established rules and regulations....
Sponsored by Finra - 3 days ago
Compliance Examiner - Member Regulation, Sales Practice - Wo...
Finra 25 reviews - Woodbridge, NJ
Search Firm Representatives. And supervisory and compliance policies, procedures, internal controls and systems to determine compliance with established...
Sponsored by Finra - 8 days ago
Senior Compliance Officer
The Compliance Search Group - New York, NY
THE COMPLIANCE SEARCH GROUP, the leading and most trusted executive search firm in the nation specializing in the recruitment of Compliance, Legal, Regulatory,...
Sponsored by TheLadders.com - 18 days ago

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Company with Compliance Search jobs
25 reviews
FINRA is the largest independent regulator of securities firms doing business with the public in the United States.