Market Conduct Examiner jobs

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Compliance Examiner - Market Regulation, Trading & Financial...
Finra 23 reviews - New York, NY
The Compliance Examiner conducts equities based operational audits for compliance with relevant FINRA, SEC, and exchange client rules....
Sponsored by Finra - 7 days ago
Compliance Examiner - Member Regulation, Sales Practice - Ka...
Finra 23 reviews - Kansas City, MO
Harm investors or the markets. FINRA’s Code of Conduct imposes restrictions on. Perform market regulation under contract for the major U.S....
Sponsored by Finra - 4 days ago

Insurance Company Examiner I

NH Insurance Department - Concord, NH 03301
$56,394.00 - $77,317.50 a year
Insurance Company Examiner I #19055. Qualified to hold Accredited Financial Examiner (AFE) certificate. Six years experience in accounting, auditing or business...
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3 days ago - save job - email - more...

Wealth Management Compliance Branch Examiner

Morgan Stanley 741 reviews - New York, NY
Conduct retail branch office inspections. As a market leader, the talent and passion of our people is critical to our success....
2 days ago - save job - email - more...

Examiner/Sr. Examiner (Community & Regional Supervision)

Federal Reserve Bank of Richmond 231 reviews - Baltimore, MD - +1 location
$99,025 - $123,781 a year
Examiner (Community & Regional). Examiner is $99,025 - $123,781, annually. In this role, the individual will conduct examinations and ongoing reviews, analyze...
2 days ago - save job - email - more...

Commissioned Bank Examiner

Federal Reserve Bank of Kansas City 231 reviews - Oklahoma City, OK
$60,900 - $95,000 a year
Commissioned Bank Examiner. Requires commissioned examiner credentials. Conduct meetings with management and boards of directors;...
18 days ago - save job - email - more...

Bank Examiner, Consumer Compliance (Multiple Levels)

Federal Reserve Bank of Atlanta 231 reviews - Atlanta, GA
Bank Examiner, Consumer Compliance (Multiple Levels). Provides guidance, training, and feedback to less experienced examiners....
7 days ago - save job - email - more...

Manager Special Investigations Unit

LPL Financial 93 reviews - Remote
Conduct specialized internal investigations and coordinate efforts with other investigative assets within the firm....
2 days ago - save job - email - more...

Annuity Claims Examiner/Intermediate Claims Examiner (IS&R)

Transamerica US - Cedar Rapids, IA
Annuity Claims Examiner. Assists with department and company projects, market conduct exams or other types of audit. Annuity Intermediate Claims Examiner....
Transamerica.com - 9 days ago - save job - email - more...

Surveillance Assistant - Member Regulation, ROOR- New York,...

Finra 23 reviews - New York, NY
Code of Conduct. Stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange....
16 hours ago - save job - email - more...

SRC Research Assistant

Federal Reserve Bank of Richmond 231 reviews - Charlotte, NC
$54,186 - $67,733 a year
Performs more general research and analysis on topics related to the economy, financial markets, banking and bank supervision....
2 days ago - save job - email - more...

INSURANCE COMPANY EXAMINER I

INSURANCE DEPT OF - Concord, NH
$56,394.00 - $77,317.50 a year
Qualified to hold Accredited Financial Examiner (AFE) certificate. Six years experience in accounting, auditing or business administration, insurance management...
Department of Revenue Administration - 17 days ago - save job - email - more...
Securities Compliance Examiner
U.S. Securities and Exchange Commission 10 reviews - Washington, DC
$86,139 a year
OCIE's mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that:....
Sponsored by eFinancialCareers - 3 days ago
Financial Operations Examiner - Member Regulation, ROOR - Ne...
Finra 23 reviews - New York, NY
Financial Operations Examiner. FINRA examiners work in a team environment, frequently offsite. Stock markets, including the New York Stock Exchange, NYSE Arca,...
Sponsored by Finra - 7 days ago
Field Technician
MasTec Advanced Technologies 238 reviews - Boston, MA
Master Electrician/Electrical Journeyman (A, B, C or D) license from MA Board of State Examiners of Electricians....
Sponsored by MasTec Advanced Technologies - 15 days ago

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Company with Market Conduct Examiner jobs
238 reviews
MasTec, Inc. (MasTec) is a specialty contractor operating mainly throughout the United States and Canada, and across a range of industries.