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






Job info
 
Company
Wells Fargo
Location
Boston, MA
Posted Date
Aug 08,2018
Info Source

... risk mitigating and compliance-driven culture which firmly establishes those disciplines as ... By maintaining an effective platform that combines conventional real estate advisory and brokerage .....

 
Company
Old Colony Investment Services
Location
Hingham, MA
Posted Date
Aug 08,2018
Info Source

... broker/dealer and vendors for instructions, questions, compliance, processing, and follow-up Client Services • Handle all client calls and types of requests including portfolio inquiries .....

 
Company
Wellington Management Company, LLP
Location
Dorchester Center, MA
Posted Date
Aug 06,2018
Info Source

... adviser, broker-dealer and/or compliance consultant, preferably to include experience ... to include experience with ... Compliance Analyst..

 
Company
Needham Bank
Location
Needham, MA
Posted Date
Jul 25,2018
Info Source

Knowledgeable in research analysis, Internet environment, survey methods, regulatory compliance ... Capable of dealing calmly and professionally with numerous different personalities from diverse .....

 
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
Wellington Management Company, LLP
Location
Boston, MA
Posted Date
Apr 22,2018
Info Source

Sources: Sell side or Dealer shops (i.e. JP Morgan, Deutsche Bank, Goldman Sachs), Hedge Funds ... The Derivatives Analyst will work daily with our Brokers and Trading and Technology teams .....

 
Company
Key Career Services
Location
Boston, MA
Posted Date
Jul 19,2018
Info Source

... Broker-Dealer, to join independently owned firms not affiliated with the brokerage company (regional firms with significantly lower regulatory & compliance burdens), while still leveraging their .....

 
Company
Wallace Associates
Location
Boston, MA
Posted Date
May 11,2018
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 .....

 
Company
(unknown company)
Location
Pocasset, 423
Posted Date
Jun 08,2018
Info Source

... analyses as directed by management and the controller. * Cash Management and Regulatory Compliance ... Assist the investigation of any anomalies noted in dealership books and the preparation of general ..

 
Company
ASRC Federal
Location
Boston, MA
Posted Date
Aug 02,2018
Info Source

Ensure data entered into database is compliant with Court Order * Perform legal research, summarize ... Distribute and receive documents related to cases dealing with asset forfeiture * Assist with the ..

 
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 .....

 
Company
AXA Advisors- NC Corporate
Location
Wellesley, MA
Posted Date
Aug 02,2018
Info Source

... compliance oversight and supervision. In addition, the District Manager will exemplify the ... It is a broker/dealer and the retail distribution channel for AXA Equitable Life Insurance Company .....

 
Company
The Phia Group
Location
Boston, MA
Posted Date
Jul 09,2018
Info Source

Draft, analyze and review health plan documents and plan amendments. Communicate with clients ... Review documents for federal and state law compliance and cost containment. * Provide language .....

 
Company
Carroll Enterprises, Inc.
Location
Worcester, MA
Posted Date
Jun 03,2018
Info Source

Oversee all associated persons' compliance with broker-dealer and industry requirements with regard ... Requirements analysis and developing standards * Strong analytical skills and dealing with .....

 
Company
Aon
Location
Boston, MA
Posted Date
May 02,2018
Info Source

Manage compliance with state regulations for workers * Monitor and report workers compensation and ... AON) is the leading global provider of risk management, insurance and reinsurance brokerage, and .....

 
Company
MassMutual
Location
Springfield, MA
Posted Date
Jun 28,2018
Info Source

Description ​​ Conduct back-office review and firm-acceptance of Broker Dealer New Business ... Compliance, Field Inspection, and Regional Supervisory Directors. Specialized regulatory review of .....

 
Company
HPOne
Location
Chelmsford, MA
Posted Date
Jul 17,2018
Info Source

Through active listening, conduct a thorough needs analysis with each client and determine the most ... compliant with all applicable rules and regulations * Submit applications in a timely manner..

 
Company
MassMutual
Location
Springfield, MA
Posted Date
Jul 11,2018
Info Source

Review Service Request submitted to the broker dealer by our clearing firm or co advisor on managed ... Must possess problem solving and analytical skills. * Be flexible with overtime when ..

 
Company
Michael Page USA
Location
Waltham, MA
Posted Date
Jul 27,2018
Info Source

Wealth Management firm seeks Compliance Manager to join a well established and successful firm ... They also have an affiliated broker-dealer. They adopt a holistic approach to wealth management and .....

 
Company
United Technologies
Location
Ashland, MA
Posted Date
Jul 12,2018
Info Source

Must demonstrate sound judgment and analytical skills to enable assessment of risk Education ... Bachelor's degree in Engineering * 1-3 years of applicable work experience in dealing with agency .....

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