Compliance Examiner Jobs
A compliance examiner job involves conducting announced and unannounced branch inspections of offices and branch offices to determine compliance with securities regulations and the applicable firm policies and procedures on periodical basis. A compliance examiner will be responsible for developing and maintaining the branch audit schedule. A compliance examiner will educate and train the field force as well as the home office staff on compliance and audit related issues; and will also develop and continuously improve the audit documents and procedures.
A compliance examiner job requires a bachelor's degree in business related field or equivalent experience. Experience of 3+ years in similar industry is usually desired. A compliance examiner should possess excellent oral and written communication skills, strong analytical skills, and ability to meet deadlines in a fast paced environment.
A compliance examiner job involves conducting announced and unannounced branch inspections of offices and branch offices to determine compliance with securities regulations and the applicable firm policies and procedures on periodical basis. A compliance examiner will be responsible for developing and maintaining the branch audit schedule. A compliance examiner will educate and train the field force as well as the home office staff on compliance and audit related issues; and will also develop and continuously improve the audit documents and procedures.
A compliance examiner job requires a bachelor's degree in business related field or equivalent experience. Experience of 3+ years in similar industry is usually desired. A compliance examiner should possess excellent oral and written communication skills, strong analytical skills, and ability to meet deadlines in a fast paced environment.
search related to: Compliance Examiner Jobs
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48 matches
| date | location | job title |
| May 09, 12 | |
USA-NY-New York City | |
Compliance Examiner - Market Regulation, Trading and Market Making Surveillance - New York, NY
.... is seeking a well qualified individual for our Compliance Examiner, Trading and Market Making Surveillance opening in New York, NY. To be considered for this position, please submit your resume thr.... |
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| May 08, 12 | |
USA-VA-McLean | |
QA Compliance Examiner Manager
.... Responsibilities: Through discussion and work paper review, evaluates compliance review team activities to assess compliance with policies and procedures Meets with compliance review teams to discus.... |
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| May 19, 12 | |
USA-IL-Oak Brook | |
Compliance Examiner/Privacy Specialist
.... Management, Accounting, Internal Auditing, Nursing or health related field *4-5 years of relevant experience in privacy, compliance, medical records, nursing, internal auditing, information systems a.... |
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| May 19, 12 | |
USA-IL-Oak Brook | |
Compliance Examiner/Privacy Specialist
.... Compliance Department investigative support resource designed to proactively determine compliance with the American Recovery and Reinvestment Act (ARRA) (also known as the Federal Stimulus Bill) expa.... |
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| May 03, 12 | |
USA-NY-New York City | |
Compliance Examiner/Manager (Broker Dealer) - Marsh & McLennan Companies Corporate - New York, NY
.... services firm providing advice and solutions in the areas of risk, strategy and human capital. It is the parent company of a number of the world's leading risk experts and specialty consultants, incl.... |
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Compliance Manager
United States-NJ-Clifton EK Success Brands, a division of Wilton Brands Inc. a creative consumer products company has an immediate opportunity for a Compliance Manager. Th... 
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