Supervisory Securities Compliance Examiner jobs

Sort by: relevance - date
Salary Estimate
Title
Company
Location
Job Type
Employer/Recruiter
Jobs 1 to 10 of 120
Upload your resume - Let employers find you
Compliance Examiner - Member Regulation, Sales Practice - Ka...
Finra 18 reviews - Kansas City, MO
individual for our Compliance Examiner opening in... and supervisory and compliance policies, procedures, internal controls and systems to determine compliance...
Sponsored by Finra - 5 days ago
Associate District Director - Member Regulation, Sales Pract...
FINRA 18 reviews - Philadelphia, PA
underwriting, supervisory and organizational practices and systems to determine compliance with federal... of directly related securities experience required...
Sponsored by eFinancialCareers - 1 day 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...
Easily apply
Sponsored by Cambridge Investment Research - 30+ days ago

Associate/Senior Associate, Regulatory Risk

KPMG 777 reviews - Chicago, IL - +6 locations
Assist clients with addressing enterprise wide compliance, including compliance risk management programs, third party compliance reviews, privacy/customer...
KPMG LLP - 12 hours ago - save job - email - more...

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

Finra 18 reviews - Chicago, IL - +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...
1 day ago - save job - email - more...

Examiner –Applications

Federal Reserve Bank of Chicago 206 reviews - Chicago, IL
The team works closely with the Supervision and Regulation Department’s supervisory teams, Board of Governors staff and the Reserve Bank’s legal staff....
4 days ago - save job - email - more...

Internal Auditor II

Alaska USA FCU 2 reviews - Anchorage, AK
Perform internal audits of the credit union's operations to ensure adequacy of internal controls, compliance, operational efficiency, security, and accuracy of...
Alaska USA Federal Credit Union - 1 day ago - save job - email - more...

Senior Manager Audit – Anti Fraud\Anti Corruption

Walmart 34,229 reviews - Bentonville, AR
• 2 years of supervisory experience. • Financial certification or licensure (for example, Certified Public Accountant (CPA), Certified Internal Auditor (CIA),...
Walmart Stores - 4 days ago - save job - email - more...

Compliance Officer

Community Bank 60 reviews - New York, NY
The Compliance Officer will be responsible for all aspects of the Bank’s compliance program including developing the program, ensuring the development and...
New Jersey Society of Certified Public Accountants - 4 days ago - save job - email - more...

AML Analyst III

Citizens Bank 403 reviews - Cranston, RI 02920
This position will serve as an analyst with operational responsibilities for accurately evaluating customer information and taking appropriate action to protect...
1 day ago - save job - email - more...

Compliance Examiner, Member Regulation - Dallas, TX

Finra 18 reviews - Dallas, TX - +1 location
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...
21 days ago - save job - email - more...

Branch Office Examiner - Oakdale

American International Group 330 reviews - Oakdale, MN
The Branch Office Examinations team is responsible for conducting annual compliance exams of select branch offices under the AIG Advisory Group network....
30+ days ago - save job - email - more...

VP, Senior Compliance Officer

Rockville Bank 7 reviews - Glastonbury, CT
United Bank is currently seeking a VP, Senior Compliance Officer. Qualified Candidate will be responsible for developing, implementing and administering...
21 days ago - save job - email - more...

Never miss a job. Get new jobs emailed to you daily.

Get email updates for the latest Supervisory Securities Compliance Examiner jobs
You can cancel email alerts at any time.
Get new jobs for this search by email
You can cancel email alerts at any time.
×
Question from Indeed:
How likely are you to recommend Indeed to a friend?
0
1
2
3
4
5
6
7
8
9
10
Not Likely
Very Likely
What is the primary reason for the score that you gave us?
Thank you for your response.
Close