Supervisory Securities Compliance Examiner jobs

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Compliance Examiner - Member Regulation, Sales Practice - Wo...
Finra 18 reviews - Woodbridge, NJ
individual for our Compliance Examiner opening in... and supervisory and compliance policies, procedures, internal controls and systems to determine compliance...
Sponsored by Finra - 1 day ago

Compliance Consultant 3

Wells Fargo 6,128 reviews - Chester, PA
Experience in Credit Risk Management and/or previous lending/underwriting/collections experience may also be considered....
7 hours ago - save job - email - more...

Branch Office Examiner - Oakdale

American International Group 310 reviews - Oakdale, MN
FINRA series 7, 24 and 65/66 licenses are required. The individual in this role should expect to 50% of travel within this role....
7 days ago - save job - email - more...

Associate/Senior Associate, Regulatory Risk

KPMG 741 reviews - Charlotte, NC - +1 location
Bachelor's degree from an accredited college/university. Ability to manage multiple tasks and prioritize changing workloads....
KPMG LLP - 9 days ago - save job - email - more...

Senior Examiner - Applications

Federal Reserve Bank of Chicago 201 reviews - Chicago, IL
Determines the adequacy of risk management systems for mitigating and controlling risks. Examiners in this group will prepare, review, and develop effective...
13 days ago - save job - email - more...

Compliance Examiner

SWS Group Inc. - Dallas, TX
Bachelor’s degree, preferably in business, or equivalent of two years financial service industry experience. Be a self driven and self managed individual with...
14 days ago - save job - email - more...

Compliance Examiner, Member Regulation - Atlanta, GA

Finra 18 reviews - Atlanta, GA
If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter. Analyzes sales practices and investigates customer...
10 days ago - save job - email - more...

Associate, Regulatory Risk

KPMG 741 reviews - Washington, DC
Bachelor's degree from an accredited college/university. Ability to manage multiple tasks and prioritize changing workloads....
KPMG LLP - 23 days ago - save job - email - more...

Compliance Manager

Remington 18 reviews - Ilion, NY
Four-year degree required. attendance is required. o Serial number methodology and marking....
13 days ago - save job - email - more...

VP Regulatory Relations

DTCC 10 reviews - Jersey City, NJ
Strong knowledge of financial services industry, clearing corporation knowledge a plus;. Spearhead regulatory projects....
20 days ago - save job - email - more...

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

Finra 18 reviews - San Francisco, CA - +6 locations
FINRA strives to make our career site accessible to all users. No phone calls, please. Analyzes sales practices and investigates customer complaints,...
15 days ago - save job - email - more...
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