Compliance Analyst Broker Dealer Jobs in Massachusetts | ComplianceCrossing.com
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Compliance Analyst Broker Dealer Jobs in Massachusetts






Job info
 
Company
Tostur
Location
Boston, MA
Posted Date
Feb 19,2018
Info Source

Follow-up with broker for updates and information as necessary. Communicate with client and/or ... Compliance and Regulatory Review Ensure all records/forms for assigned accounts are properly .....

 
Company
Wells Fargo
Location
Boston, MA
Posted Date
Feb 16,2018
Info Source

Strong analytical skills with high attention to detail and accuracy * Ability to interact with all ... Experience in a Risk / Compliance role in an Investment Advisory and/or Broker/Dealer business ..

 
Company
Charles River Laboratories
Location
Woburn, MA
Posted Date
Feb 14,2018
Info Source

Ensures compliance with protocols and all applicable SOPs. Troubleshoots and resolves assay or ... Provides advisory functions to clients designing a program or experiment, dealing with specific .....

 
Company
Citizens Bank
Location
Canton, MA
Posted Date
Feb 13,2018
Info Source

... broker dealer, investment advisor, and/or insuranceproducts and firm activities. The candidate may also supportregulatory inquiries from State and Federal regulators. Timelinessand coordination of .....

 
Company
Santander Bank
Location
Boston, MA
Posted Date
Feb 13,2018
Info Source

... Dealer lending, Healthcare, Energy, Education, and Government Banking. GLOBAL CORPORATE BANKING ... and Compliance. JOB REQUIREMENTS & RESPONSIBILITIES We are looking for leaders with strong .....

 
Company
OnX Enterprise Solutions
Location
Burlington, MA
Posted Date
Feb 09,2018
Info Source

Our client is seeking a Senior Security Analyst for a long term consulting position. This is a ... dealing with SOC and PCI audits. Prior experience with GDPR compliance is a ..

 
Company
MassMutual
Location
Springfield, MA
Posted Date
Feb 08,2018
Info Source

... Brokerage accounts, Options accounts, 529 plans, Annuities, options and Variable Life submissions ... such as Compliance, Field Inspection, and Regional Supervisory Directors. • Specialized .....

 
Company
MassMutual
Location
Springfield, MA
Posted Date
Feb 08,2018
Info Source

... cause analysis of complex issues and escalations related to Broker/Dealer business. Identify ... Work with legal and compliance, peers, and management to carryout processing of legal orders and .....

 
Company
Citizens Bank
Location
Canton, MA
Posted Date
Feb 07,2018
Info Source

Qualifications Required Skills/Experience 5 years of compliance related experience in a retail broker dealer Preferred Skills/Experience: Experience researching customer complaints..

 
Company
Autobahn USA
Location
Westborough, MA
Posted Date
Feb 07,2018
Info Source

Assistant Office Manager Autobahn USA is New England's largest luxury pre-owned auto dealership ... Responsibilities: · Summarizes sales and expense analysis to detect potential problem areas and .....

 
Company
Wells Fargo
Location
Boston, MA
Posted Date
Feb 03,2018
Info Source

... National Broker Dealer (NBD), Independent Broker Dealer (IBD) client segments and enterprise ... also partner with Legal and Compliance to ensure adherence to .....

 
Company
Thermo Fisher Scientific
Location
Franklin, MA
Posted Date
Feb 02,2018
Info Source

We help our customers accelerate life sciences research, solve complex analytical challenges ... The candidate will interface with freight forwarders, US customs officers, custom brokers, and .....

 
Company
The Herb Chambers Company
Location
Boston, MA
Posted Date
Jan 18,2018
Info Source

... compliance, as well as financial/accounting decisions of the dealership. * Oversight of the ... Work with the management staff of the dealership to review the data and prepare reports/analysis as ..

 
Company
Wolters Kluwer
Location
Waltham, MA
Posted Date
Jan 11,2018
Info Source

... and intelligent analysis. Wiz products speed the preparation of data for compliance reviews ... brokerage/securities industry ? Customer focus with a demonstrated aptitude for researching .....

 
Company
OMG, Inc.
Location
Agawam, MA
Posted Date
Jan 11,2018
Info Source

... in a Trade Analyst/Compliance role. (experience in a manufacturing environment preferred). · Brokerage Operations Knowledge, basic understanding of proper processes, procedures, and use of .....

 
Company
ADPI LLC
Location
Springfield, MA
Posted Date
Jan 11,2018
Info Source

Broker/Dealer and Supervisory experience * Ability to work with offshore resources * SCLC * Srum Master Certification a plus * Compliance background Required Skills: * OFFSHORE * SOFTWARE DEVELOPMENT..

 
Company
ISO Claims Partners
Location
North Reading, MA
Posted Date
Dec 26,2017
Info Source

... compliance and claim analytics services for Workers' Compensation, First-Party No-Fault, and ... and brokers in order to timely secure Rated Ages for completion of our products that evaluate .....

 
Company
Laboratory Corporation of America
Location
Westborough, MA
Posted Date
Nov 25,2017
Info Source

... and compliance with applicable regulatory requirements. Works iteratively with the business ... Investment & Brokerage banking; Capital market services; Wealth management. In lieu of Bachelor .....

 
Company
Wallace Associates
Location
Boston, MA
Posted Date
Nov 16,2017
Info Source

Senior Analyst: Wealth Management Boston MA The Company Our client is an independent research and ... broker/dealer firm or a service provider to this wealth management industry segment, e.g .....

 
Job title
Company
Lincoln Investment
Location
Waltham, MA
Posted Date
Nov 15,2017
Info Source

Company Description Lincoln Investment, a full-service broker-dealer and registered investment advisor, including Capital Analysts and Legend Advisory, registered investment advisors, serves the .....

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