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Securities Compliance Examiner jobs in Santa Rosa, CA

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12 jobs found within 50 mi of Santa Rosa, CA
No jobs found within 25 mi of Santa Rosa, CA
Jobs 1 to 9 of 12
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Securities Compliance Examiner
The Securities Compliance Examiner positions are located within the National Examination Program in the following regional offices:....
Sponsored by OneWire Inc.
Staff Internal IT Auditor I
Familiarity with PCI compliance requirements a plus. Provide independent evaluations of IT controls, security, policies, and procedures....
Sponsored
Examiner - Member Regulation
FINRA - 36 reviews - San Francisco, CA
Minimum of five years of securities, compliance or financial regulatory experience. Employees may only maintain securities accounts that must be disclosed to...
Sponsored by eFinancialCareers

Examiner - Member Regulation, Sales Practice - San Francisco...

Finra - 36 reviews - San Francisco, CA 94104 (Financial District area)
Minimum of five years of securities, compliance or financial regulatory experience. Investment and securities account restrictions....

Operational Risk Consultant 4

Wells Fargo - 13,313 reviews - San Francisco, CA
Experience working with internal and external auditors and regulatory examiners. Or 6+ years of IT systems security, business process management or financial...

IT Audit Manager

Wells Fargo - 13,313 reviews - San Francisco, CA
Risk or compliance experience. Certified Information Systems Security Professional (CISSP). Data center environmental and physical security controls;...

IT Audit Leader

Wells Fargo - 13,313 reviews - San Francisco, CA
Risk or compliance experience. Certified Information Systems Security Professional (CISSP). Data center environmental and physical security controls;...

Senior Audit Leader

Wells Fargo - 13,313 reviews - San Francisco, CA
Risk or compliance experience. 2+ years in regulatory risk or compliance with exposure to internal compliance roles, banking, broker-dealer regulations or other...

IT Examiner

Federal Reserve Bank of San Francisco - 17 reviews - San Francisco, CA
Information Technology Examiner. An examiner commission from a bank regulatory agency (Federal Reserve, FDIC, OCC) and/or CISA certification....

IT Senior Audit Leader

Wells Fargo - 13,313 reviews - San Francisco, CA
Risk or compliance experience. Certified Information Systems Security Professional (CISSP). Data center environmental and physical security controls;...

Financial Advisory Services San Francisco Director

AlixPartners - 5 reviews - San Francisco, CA 94111 (Financial District area)
Evaluating compliance with rules and regulations of the FCPA, Sarbanes-Oxley, and the federal securities laws....

Cross Group Operational Risk Leader Information Risk Managem...

Wells Fargo - 13,313 reviews - San Francisco, CA  +1 location
Records program initiatives (eRecords compliance programs, TCPA, etc.). Our CLG Cross-Group Compliance and Operational Risk team (CG COR) drives and supports...
Senior Audit Leader
Wells Fargo - 13,313 reviews - San Francisco, CA
Risk or compliance experience. 2+ years in regulatory risk or compliance with exposure to internal compliance roles, banking, broker-dealer regulations or other...
Sponsored

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Company with Securities Compliance Examiner jobs
Wells Fargo is a nationwide, diversified, community-based financial services company, founded in 1852 and headquartered in San Francisco.
Examiner salaries in Santa Rosa, CA

$35.66 per hour

65.7% higher than national average

$29.10$43.69
Common

Estimated salary from 11 jobs