Securities Compliance Examiner jobs

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Compliance Examiner - Market Regulation, Trading & Financial...
Finra 18 reviews - New York, NY
individual for our Compliance Examiner opening in... no phone calls, please. Job Summary: The Compliance Examiner conducts routine review and investigations...
Sponsored by Finra - 6 days ago
Financial Operations Examiner - Member Regulation, ROOR - Ne...
Finra 18 reviews - New York, NY
condition and compliance with securities rules and... in a regulatory, compliance or investigative role is highly desired, with securities industry experience...
Sponsored by Finra - 9 days ago

COMPLIANCE OFFICERS

PeopleFirst Florida HR - Escambia County, FL
Compliance Examiners assist existing and prospective dealers with the licensing process and inspects all initial dealer locations within an assigned territory.... $26,540.64 a year
1 day ago - save job - block - email - more...

ELECTRICAL ENGINEERING

Air Force Personnel Center 5,445 reviews - Altus AFB, OK
Provide technical review of A&E design calculations, cost estimates, analyses, drawings and specifications to ensure compliance with project requirements and to... $57,982 - $75,376 a year
usajobs.gov - 10 hours ago - save job - block - email - more...

Financial Examiner 2, 3 or 4

State of Washington 36 reviews - King County, WA
Collectively and independently, the Department’s nearly 200 employees within its 5 divisions - Administration, Banks, Consumer Services, Credit Unions, and...
5 days ago - save job - block - email - more...

Associate/Senior Associate, Regulatory Risk

KPMG 771 reviews - Washington, DC
Assist clients with addressing enterprise wide compliance, including compliance risk management programs, third party compliance reviews, privacy/customer...
KPMG LLP - 8 days ago - save job - block - email - more...

Compliance Officer Branch Examinations

Citi 1,890 reviews - Long Island City, NY
The Control Officer for Branch Examinations (Examiner) will be responsible for conducting Broker Dealer Branch Examinations and other compliance / control...
2 days ago - save job - block - email - more...

Compliance Examiner

Citizens Bank 399 reviews - Norwood, MA 02062
A Compliance Examiner is the independent compliance partner who is responsible for working with a specific CFG Business Division/Unit to ensure that the...
16 days ago - save job - block - email - more...

Compliance Officer - GWM Testing and Reporting

JPMorgan Chase 4,993 reviews - New York, NY
Compliance Officer - GWM Testing and Reporting. JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60...
7 days ago - save job - block - email - more...

Examiner

LPL Financial 73 reviews - Remote
The Examiner role is a remote position, and interested applicants should be near a major airport for easy travel....
20 days ago - save job - block - email - more...

ELECTRICAL ENGINEERING

Air Force Acquisition - Altus AFB, OK
Provide technical review of A&E design calculations, cost estimates, analyses, drawings and specifications to ensure compliance with project requirements and to... $57,982 - $75,376 a year
11 hours ago - save job - block - email - more...

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

Finra 18 reviews - Woodbridge, NJ - +6 locations
Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to protect investors and ensure the...
7 hours ago - save job - block - email - more...
Examiner – IT Financial Operations, Member Regulation, ROOR...
Finra 18 reviews - New York, NY
operations, trading, compliance, risk management and... of the securities business-from registering and educating industry participants to examining securities...
Sponsored by Finra - 30 days ago
Compliance Examiner - Member Regulation, Sales Practice - Ka...
Finra 18 reviews - Kansas City, MO
individual for our Compliance Examiner opening in... examiners or managers. Candidates may have opportunities to coach and guide less experienced examiners...
Sponsored by Finra - 30 days ago
Compliance Examiner - Series 7 & 24 Securities Licenses Requ...
Cambridge Investment Research 5 reviews - Georgia
leader as a securities broker/dealer, has an opening in Compliance for a full time Compliance Examiner in our Norcross, GA Office. The Examiner works under the...
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Sponsored by Cambridge Investment Research - 30+ days ago
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