Compliance Series jobs

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SENIOR ANALYST - REGULATORY AFFAIRS
Stifel Nicolaus 15 reviews - Baltimore, MD
Preferably compliance experience. Series 7, 63/66, 9 and 10 required. Compliance liaison and compliance expert pre, post and during regulatory examinations of...
Sponsored by Stifel Nicolaus  - 30+ days ago
Portfolio Specialist - Jacksonville, FL
Fidelity Investments 1,133 reviews - Jacksonville, FL
NASD Series 7, 63, and 65/66 required. Effective profiling, funding, investing procedures, risk mitigation and compliance oversight....
Sponsored by Fidelity Investments  - 1 day ago
Manager, Regulatory Affairs
Infinity Pharmaceuticals, Inc. - Cambridge, MA
Through a series of strategic alliances, Infinity is in a position to independently fund the development and commercialization of its drug candidates....
Sponsored by Infinity Pharmaceuticals, Inc.  - 27 days ago

Compliance Officer (Financial Services Industry)

Davenport & Company LLC - Richmond, VA
Chief Compliance Officer. Compliance, Risk, or Audit experience:. The Compliance Officer is responsible for providing compliance advice, oversight and support...
Easily apply

Complex Supervisory Officer

UBS 573 reviews - Fort Lauderdale, FL - +4 locations
Series 7, 66, 8 or 9 and 10 - Series 3 (if applicable). Ensure branch completion of required compliance training modules....

COMPLIANCE EXAMINER

Stifel Nicolaus 15 reviews - St. Louis, MO
Other duties as assigned by Branch Exam Compliance Officer or Chief Compliance Officer. Series 7, 63 and 65/66 required and must complete the Series 9, and10,...

Financial Planning Supervisory Principal

Guardian Life Insurance Company 109 reviews - New York, NY
Must possess FINRA Series 7, 24, and 65/66 registrations. At least 5 years financial planning experience with a record of increasing responsibilities in...

Associate Compliance Officer

Russell Investments 22 reviews - Seattle, WA
Licenses Series 6 or 7, Series 26 or 24. Work along with Russell's Global compliance team in developing compliance programs to address existing and future...

Sr Agency Compliance Consultant

MetLife 1,063 reviews - Tempe, AZ
FINRA Series 53. FINRA Series 7, 24 (Series 9 &10 may substitute for series 24). Updates written procedures and compliance delegations....

Surveillance Compliance Analyst

H.Beck, Inc./Capital Financial Group - Bethesda, MD
*FINRA Series 24*. Organization, legal, regulatory, compliance or similar role. Ability to confidently and tactfully deliver compliance decisions....
Easily apply

Compliance Analyst

Natixis Global Asset Management 4 reviews - Boston, MA
The Compliance Analyst is responsible for the compliance review and approval of mutual fund and separate account advertising and sales literature....

Complex Risk Officer

Morgan Stanley 893 reviews - Pasadena, CA - +14 locations
Series 3 preferred. Morgan Stanley Wealth Management compliance policies and procedures. Focuses on business ethics and regulatory and compliance practices....

Merrill Lynch Administrative Manager - Little Rock, AR

Bank of America 10,883 reviews - Little Rock, AR - +7 locations
Series 3, 31 licenses, if warranted. Series 7,66 (or equivalent),9,10 (or equivalent) Licenses. The Administrative Manager is an integral member of the Office...
Compliance Analyst, Advertising Review
Independent Financial Group - San Diego, CA
Compliance Analyst, Advertising Review. Series 7 and 24 required. 3+ years of experience in compliance or financial services....
Easily apply
Sponsored by Independent Financial Group  - 28 days ago
Compliance Officer (Financial Services Industry)
Davenport & Company LLC - Richmond, VA
Chief Compliance Officer. Compliance, Risk, or Audit experience:. The Compliance Officer is responsible for providing compliance advice, oversight and support...
Easily apply
Sponsored by Davenport & Company LLC  - 15 days ago

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Company with Compliance Series jobs
Infinity is an innovative drug discovery & development company dedicated to discovering and delivering best-in-class medicine.