Compliance Series jobs

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Director of Compliance, Citizens Wealth Management
CITIZENS BANK - 1,712 reviews - Canton, MA 02021
FINRA Series 7, 24, and 63 required. Description As part of Independent Risk Management (2nd Line – Compliance), the purpose is to oversee independent...
Broker Dealer Compliance Officer
Fortune Financial Services, Inc. - Pittsburgh, PA
A series 65 or 66 is helpful. Must have FINRA Series 7, 24, and 63 registrations.*. An effective compliance team (our last FINRA exam had no findings!)....
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COMPLIANCE OFFICER - ADVERTISING REVIEW PRINCIPAL
Confidential - Securities Broker-Dealer - Tinton Falls, NJ
COMPLIANCE OFFICER - ADVERTISING REVIEW PRINCIPAL Duties:. Series 7, 24, and 65 or 66. FINRA Series 7, 24, and 65 or 66....
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Compliance at a Small FINRA Broker-Dealer
CONFIDENATIAL - Tampa, FL 33635
$35,000 - $50,000 a year
This person will work closely with the Chief Compliance Officer, Senior Compliance Officer and Research Associate in all matters of supporting the firm's...
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AUDITOR

State of Tennessee - 508 reviews - Davidson County, TN
$3,533 a month
Under general supervision, employees in the class lead or supervise a small team of professional auditors in performing financial, compliance, operational and...

Entry Level Compliance Associate

Cohen and Steers - New York, NY 10017 (Midtown area)
We are looking for a motivated, high-energy individual who can conduct hands-on compliance under the guidance of more senior members of the Compliance team....
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Analyst, Legal Compliance

MasterCard - 304 reviews - Purchase, NY 10577
Track the resolution of Compliance Process Improvements identified during compliance investigations. [Significant focus] Compile compliance metrics and prepare...

Senior Compliance Analyst

MetLife - 3,077 reviews - Bridgewater, NJ 08807
Compliance Business management. Business Compliance management as needed. Performs data entry in the Compliance Risk Management Program system for new laws and...

Import/Export Consultant

DELL - 6,186 reviews - Austin, TX
Viewed as an expert internally and externally regarding compliance regulations and serves as organization spokesperson on specialized projects or programs they...

Trade Analyst

Morgan Stanley - 2,217 reviews - South Jordan, UT
Willing to sit for Series 3 Exam. Active Series 7, 8 (or 9 and 10), 66 (or 65 and 63) Registrations. Requirements Knowledge, Skills, and Abilities •Knowledge of...

Sr. Compliance & Ops Risk Control Officer, PR, Canada & Baha...

UBS - 1,403 reviews - Weehawken, NJ
Series 7, 63, 14, 24 preferred. Measure and aggregate all material compliance and operational risks for the local businesses....

Consultant, Compliance

Lincoln Financial - 608 reviews - Hartford, CT
Series 6 and Series 26 (or within 180 days of hire). Maintain written documentation of compliance activities; The Compliance Consultant is to ensure compliance...

Complex Product Risk Officer - VP

Morgan Stanley - 2,217 reviews - Atlanta, GA   +2 locations
Risk or Compliance professional. Series 24 preferred but not required. Active Series 3 is a prerequisite for this position....

Cybersecurity Compliance Specialist

Technalink, Inc. - Tysons, VA
FISMA- related audits and compliance:. NIST 800 series and OMB guidance:. 7+ years of experience with FISMA-related audits and compliance....
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Compliance Consultant 4
Wells Fargo - 20,852 reviews - St. Louis, MO
Responsible for developing, implementing and monitoring risk-based compliance programs, specifically related to technology, to assure compliance with federal,...
Compliance Coordinator
South State Bank - 49 reviews - Charleston, SC
Insures compliance with. Must have series 7, 66 and 24 securities license. Ensures that all compliance objectives for the investment services program are met....