Compliance Analyst Broker Dealer Jobs

Sr Compliance Officer - Risk Assessment & ... a 2nd Line of Defense Compliance Program position that is responsible ... for coordinating and performing regulatory compliance and operational risk assessments..

... implementation of Security Based Swap Dealer (SBSD) compliance program, including facilitating SBSD registration ... best practices Provide results-driven regulatory compliance solution to the client in ... years of experience..

... (RCG) is seeking a Surveillance Analyst (AVP/VP) to help monitor sales ... necessary with line-of-business supervisors and compliance Consult with management to improve ... Written Supervisory Procedures to ensure..

... future team AIG's Global Legal, Compliance, Regulatory and Government Affairs department ... an opportunity for a Senior Compliance Analyst - Surveillance in Houston, TX. ... in Houston, TX. The..

21100BR Job Description: Ensure our advisors and the firm comply with applicable rules and regulations, policies, and procedures. Effective and timely processing of complaints and advisor errors, as necessary in order ..

Compliance Officer - VFA Investigations Candidates ... The Role and Responsibilities: The Compliance Officer of VFA Investigations will ... will report to the Senior Compliance Officer of VFA Surveillance. This..

R20038139 Job Title : Lead-Compliance-Analyst,-Broker-Dealer-Investment-Advisor Location : Duluth, GA US ... development of new and/or enhanced compliance programs and enterprise-wide initiatives. Research, ... provide ongoing guidance to ensure compliance with..

21097BR Job Description: This Compliance Analyst position is focused on leading ... on leading the Field Policy Compliance Manual intake process, providing compliance expertise, process review and tactical ... and..

... motivated and skilled Director of Compliance, Wealth Services, and Retirement Plan ... role of the Director of Compliance (Director) is to work with ... to work with the Chief..

... implementation of Security Based Swap Dealer (SBSD) compliance program, including facilitating SBSD registration ... best practices Provide results-driven regulatory compliance solution to the client in ... years of experience..

... motivated and skilled Director of Compliance, Wealth Services, and Retirement Plan ... role of the Director of Compliance (Director) is to work with ... to work with the Chief..

Sr. Compliance Officer – Regulatory Change Management','059208','!*!At ... Line of Defense position within Compliance Program Team that is responsible ... reporting to incorporate sub function compliance risk metrics, monitors metrics..

R20038485 Job Title : Senior-Compliance-Analyst,-Broker-Dealer-Investment-Advisor Location : Duluth, GA US ... and/or enhanced practices for both broker-dealer and RIA side of the ... development of new and/or enhanced compliance programs..

... TalentSource is hiring an Associate Compliance Analyst at Fidelity Investments. This position ... Working in a deadline driven compliance setting, we are looking for ... low number of errors...

... others. The Legal Contract and Compliance Analyst will support the contracting process ... outcomes, the Legal Contract and Compliance Analyst will need to develop a ... brand. The Legal..

... implementation of Security Based Swap Dealer (SBSD) compliance program, including facilitating SBSD registration ... best practices Provide results-driven regulatory compliance solution to the client in ... years of experience..

FINRA Compliance Analyst Risk Management AZ - Phoenix, ... audits to verify and document compliance.Implements and conducts various monitoring and ... conjunction with investigations. Identifies potential non-compliance practices, makes determination..

... with CIB subject matter experts, Compliance, Legal, Control and Change Management ... a strong risk mitigating and compliance-driven culture which firmly establishes those ... Market, Financial Crimes, Operational, Regulatory..

... for a motivated and talented compliance officer who is familiar with ... regulations is preferred. Responsibilities: The Compliance Officer – Advisor Regulation will ... be responsible for: Overseeing all..

... needs.u003c/pu003enu003ch4u003eu003cstrongu003ePrimary Accountability:u003c/strongu003eu003c/h4u003enu003cpu003eAs a member of Compliance, this position plays an integral ... This role supports the overall compliance initiatives of the wealth management ... management line of business ensuring..

Trade Compliance Analyst 3.6 Full-time 12 hours ago ... Job Description Overview The Trade Compliance Analyst provides support in monitoring compliance for our clients. This role ... Investment Management Agreements..

... is seeking an Investment Advisory Compliance Analyst to join its Investments Compliance team. AIG Investments is the ... head of AIG Investments Cross-Asset Compliance Team. The Cross Asset Compliance..

... position. Job Overview The Sponsor Compliance team in CLR is looking ... join the team. The Sr. Analyst will report to the VP, ... VP, Conflicts Management & Sponsor..