Senior Compliance Associate Monitoring Examination jobs in New York, NY

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Licensing Management and Contract Compliance Senior Associat...
PwC 940 reviews - New York, NY
controls, gauge compliance and pinpoint underreported... as experience performing fraud and non-compliance examinations. Preferred academic concentrations and...
Sponsored by TheLadders.com - 2 days ago
Consolidated Supervised Entity Examiner - Member Regulation,...
Finra 19 reviews - New York, NY
other senior staff member. The CSE Associate Examiner... examinations simultaneously, including regular examinations and special "cause" examinations or projects...
Sponsored by Finra - 28 days ago

Vice President, Corporate Counsel

Prudential 564 reviews - Newark, NJ
relationships, electronic business platforms/interfaces and representation of the Individual Life Insurance and Annuities businesses in associated cross...
30+ days ago - save job - email - more...

Licensing Management and Contract Compliance Senior Associat...

PwC 940 reviews - New York, NY
Our licensing management services help clients to identify ineffective internal controls, gauge compliance and pinpoint underreported royalties....
6 days ago - save job - email - more...

Examination Manager - Sales Practice, Member Regulation - Ne...

Finra 19 reviews - New York, NY
examinations and other reviews related to finances, policies, procedures, practices, and products offered by FINRA member firms and their associated persons...
15 days ago - save job - email - more...

Qualifications/ Senior Qualifications Analyst - Testing and...

Finra 19 reviews - New York, NY
Manage the maintenance of test questions and content outlines for securities industry qualification examinations....
28 days ago - save job - email - more...

Regulatory Coordinator - Member Regulation, ROOR- New York,...

Finra 19 reviews - New York, NY
Review and analyze financial reports and other relevant data to ensure compliance with FINRA and SEC rules and regulations....
30+ days ago - save job - email - more...

Consolidated Supervised Entity Examiner - Member Regulation,...

Compliance Search - New York, NY
and procedures for the establishment and implementation of comprehensive internal controls to effectively manage risk and that are in compliance with...
9 days ago - save job - email - more...

Regulatory Coordinator - Member Regulation, Sales Practice -...

Finra 19 reviews - New York, NY
Review and analyze financial reports and other relevant data to ensure compliance with FINRA and SEC rules and regulations....
30+ days ago - save job - email - more...

Consolidated Supervised Entity Examiner - Member Regulation,...

Finra 19 reviews - New York, NY
The Examiner conducts assignments on routine and special Consolidated Supervised Entity (CSE) examinations to assess member firms' risk management framework and...
30+ days ago - save job - email - more...

Regulatory Coordinator - Member Regulation, Sales Practice -...

Finra 19 reviews - New York, NY
Review and analyze financial reports and other relevant data to ensure compliance with FINRA and SEC rules and regulations....
30+ days ago - save job - email - more...
Regulatory Coordinator - Member Regulation, Sales Practice -...
FINRA 19 reviews - New York, NY
firm examinations. Review, analyze, and communicate examination findings to member firms' senior management. Evaluate firm responses to examination reports to...
Sponsored by eFinancialCareers - 9 days ago

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