Supervisory Securities Compliance Examiner jobs

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Jobs 1 to 10 of 101

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Compliance Examiner - Member Regulation - Seattle, WA

Finra - Seattle, WA

individual for our Compliance Examiner opening in... and supervisory and compliance policies, procedures, internal controls and systems to determine compliance...

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

Finra - Boca Raton, FL - +2 locations

FINRA strives to make our career site accessible to all users. No phone calls, please. Analyzes sales practices and investigates customer complaints,...

23 hours ago - save job - email - more...

COMPLIANCE EXAMINER

Stifel Nicolaus 6 reviews - St. Louis, MO

Thorough knowledge of SEC/FINRA/NYSE rules and regulations as well industry procedures. Prepares summary reports indicating findings and corrective action, to...

20 days ago - save job - email - more...

Field Examiner

Department of Veterans Affairs 300 reviews - Coos County, NH - +4 locations

Such credit must be requested and approved prior to the appointment date and is not guaranteed. Ensure that veterans are receiving the full range of VA benefits... $47,448 - $61,678 a year

2 days ago - save job - email - more...

IT Examiner

Federal Reserve Bank of Dallas 119 reviews - Dallas, TX

We are proud to be an equal opportunity employer. 2. Determines the adequacy of information technology and operational risk management systems.... $48,100 - $80,800 a year

4 days ago - save job - email - more...

Supervisory Interdisciplinary Engineer, GS-0801/0803-14

Department Of The Interior 68 reviews - Herndon, VA

In the event your self-elected responses to the occupational questionnaire/assessment cannot be verified within the contents of your resume, your rating will be... $105,211 - $136,771 a year

usajobs.gov - 13 days ago - save job - email - more...

Compliance Examiner - Member Regulation - Kansas City, MO

Finra - Kansas City, MO - +5 locations

in your browser to reach our site directly. FINRA strives to make our career site accessible to all users. No phone calls, please....

12 days ago - save job - email - more...

Biomedical Engineer Supervisory

Department of Veterans Affairs 300 reviews - Lebanon, PA

Reaching above shoulders. America's Veterans. How would you like to become a part of a team.... $81,823 - $106,369 a year

8 days ago - save job - email - more...

Supervisory, Biomedical Engineer

Department of Veterans Affairs 300 reviews - West Haven, CT

Experience. Assuring the provision of a continuing education program for clinical staff addressing the principles and application of medical instrumentation... $92,259 - $141,726 a year

11 days ago - save job - email - more...

Supervisory Engineer (Deputy Superintendent)

Legislative Branch - Washington, DC

Absent other means of qualifying under this standard, those applicants who achieved such registration by means other than written test (e.g., State grandfather... $130,000 - $156,000 a year

usajobs.gov - 12 days ago - save job - email - more...

DORA-Financial/Credit Examiner IV-Division of Securities

Colorado Department of Personnel and Administratio... - Denver, CO

13-31-OP/CAS. The position directs and participates in the review of applications for licenses for completeness and accuracy....

9 days ago - save job - email - more...

Chief Compliance Officer-Atlantic Trust Private Wealth Manag...

Invesco 20 reviews - New York, NY

a supervisory program to ensure compliance with SEC... BSA/AML and securities legislation and internal compliance policies § Responding to compliance related...