THE LARGEST COLLECTION OF COMPLIANCE JOBS ON EARTH
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... to 15 years of diversified compliance experience with exposure to investment ... Make your mark: bnymellon.com/careers.Risk and Compliance provide risk and compliance services across all BNY Mellon ... Mellon..
... product/financial services and/or auditing or compliance experience preferred. Thorough knowledge of ... and regulations. Solid understanding of Compliance Risk Management and best practices. ... Make your mark: bnymellon.com/careers.Risk and..
2 years of compliance, risk management, or auditing experience
FINRA Series 7/63 and 24 and required
Knowledge in internal control and risk management
Asset management industry experience, including mutual fund ..
DEPARTMENT: Compliance JOB TITLE: Futures - Compliance Officer LOCATION: New York TASKS ... the implementation of the Firm’s Compliance Program. Conduct internal compliance reviews and investigations. Assist with ... internal..
Compliance Analysts assist ACA consultants in providing regulatory consulting services to
investment advisers and other firms in the investment industry.
Summary of Responsibilities:
Supporting consultants during on-site and off-site mock SEC ..