Securities Compliance Examiner jobs

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Compliance Examiner - Market Regulation, Trading & Financial...
Finra 24 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 - 12 days ago
Financial Operations Examiner - Member Regulation, ROOR - Ne...
Finra 24 reviews - New York, NY
Financial Operations Examiner. Directly related experience in a regulatory, operations, compliance or investigative role is highly desired, with securities...
Sponsored by Finra - 6 days ago
Compliance Examiner - Member Regulation, Sales Practice - Ch...
Finra 24 reviews - Chicago, IL
Investment and securities account restrictions. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms...
Sponsored by Finra - 4 days ago

Securities Compliance Examiner

U.S. Securities & Exchange Commission - New York, NY 10019 (Midtown area)
This Securities Compliance Examiner position is in the New York Regional Office located in New York, NY. The Compliance Inspections and Examinations program...
New York Times - 10 days ago - save job - email - more...

Compliance Examiner, Member Regulation - Boca Raton, FL

Finra 24 reviews - Boca Raton, FL
Investment and securities account restrictions. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms...
16 days ago - save job - email - more...

Compliance Branch Examiner

NFP HR Services - Austin, TX
Answer general compliance questions relating to a variety of general compliance functions. Familiar with SEC, FINRA and State regulations of securities and...
Easily apply
17 days ago - save job - email - more...

Compliance Manager - Payments Products

Amazon Payments, Inc. 2,801 reviews - Seattle, WA
Create documentation outlining Compliance controls at a product level and defend to examiners. A Compliance Manager will:....
Amazon.com - 1 day ago - save job - email - more...

Wealth Management Compliance Branch Examiner

Morgan Stanley 761 reviews - New York, NY
Professionals within Legal and Compliance provide a wide range of services to our business units. Morgan Stanley is a leading global financial services firm...
30+ days ago - save job - email - more...

Compliance Examiner I

Stewart Title Guaranty Company 12 reviews - Houston, TX
Back ups, monitoring, physical security, WAN, data/application security, SDLC's, etc.). Conduct assigned internal technology and operational IT operations...
12 days ago - save job - email - more...

Senior Compliance Officer - Investment Advisor

M&T Bank 346 reviews - Baltimore, MD
The Senior Compliance Officer position is essential to ensuring compliance throughout WTIA. Procedures to achieve compliance....
18 days ago - save job - email - more...

Archer Governance Senior Manager

Regions Financial Corporation 669 reviews - Hoover, AL
Coordinates compliance efforts and corrective actions with internal and external auditors, including regulatory examiners, as necessary....
3 days ago - save job - email - more...

Securities Compliance Examiner

U.S Securities and Exchange Commission - Washington, DC
$103,459 - $179,071 a year
Participating in examinations of Nationally Recognized Statistical Ratings Organizations (NRSROs) for compliance with Commission†s rules and applicable...
Minority Corporate Counsel Association - 2 days ago - save job - email - more...

PRODUCT SAFETY INVESTIGATOR

Consumer Product Safety Commission 2 reviews - Las Vegas, NV
$39,570 - $76,131 a year
Determining compliance with the organization's regulations, laws, and product standards. The Division of Field Investigations is responsible for carrying out...
usajobs.gov - 2 days ago - save job - email - more...
Senior Director, Compliance Monitoring
MoneyGram 64 reviews - Frisco, TX
Presents the key compliance program elements related to higher risk investigations, analysis and actions to examiners, Internal Audit, and strategic partners....
Sponsored by MoneyGram - 30+ days ago
Farmers Financial Solutions Regional Compliance Examiner
Farmers Insurance Group 1,205 reviews - Agoura Hills, CA
General Compliance Activities. Consult and confirm with Compliance Management staff whether the branch office is in compliance with regulatory and Firm policy...
Sponsored by Farmers Insurance Group - 30+ days ago

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