Compliance Officer

Role Description FNZ Securities USA, headquartered in New York City, is a self-clearing broker-dealer which provides fully disclosed clearing and custody services to introducing broker-dealers and RIAs in the wealth management space. We are currently going through the application process with FINRA to become a licensed clearing broker-dealer and we expect...

Role Description FNZ Securities USA, headquartered in New York City, is a self-clearing broker-dealer which provides fully disclosed clearing and custody services to introducing broker-dealers and RIAs in the wealth management space. We are currently going through the application process with FINRA to become a licensed clearing broker-dealer and we expect...

Performs skilled field inspection and code enforcement work in securing compliance with the County building, zoning, and land development codes, ordinances, and regulations, as well as other County laws, codes, and ordinances governing land use and d Compliance Officer, Officer, Compliance, Land Development, Contractor, Business Services, Inspection

A growing registered investment advisor is adding to their legal and compliance team and is looking for you to be the firms next Compliance Associate! This is an incredibly exciting time to join the firm as they are opening their first office in the Southeast - offering an opportunity to be a founding member of the office. The Compliance Associate will be...

Key Duties & Responsibilities Assisting in enforcing Code of Ethics, which involves monitoring personal trading accounts, issuing certifications, and managing conflicts-of-interest. Maintaining and updating compliance policies and procedures, ensuring they're current and effective. Assisting with SEC and NFA filings and regulatory examinations to ensure...

Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...

Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...

Legal.io is working with a leading consumer finance/financial services company looking to retain a Senior Compliance Analyst on a contract basis, full-time (40 hours/wk), for an initial 3-month term. The Senior Compliance Analyst will be responsible for managing audits and testing of various controls related to regulatory compliance. The candidate must...

Legal.io is working with a leading consumer finance/financial services company looking to retain a Senior Compliance Analyst on a contract basis, full-time (40 hours/wk), for an initial 3-month term.The Senior Compliance Analyst will be responsible for managing audits and testing of various controls related to regulatory compliance. The candidate must...

Legal.io is working with a leading consumer finance/financial services company looking to retain a Senior Compliance Analyst on a contract basis, full-time (40 hours/wk), for an initial 3-month term.The Senior Compliance Analyst will be responsible for managing audits and testing of various controls related to regulatory compliance. The candidate must...

Legal.io is working with a leading consumer finance/financial services company looking to retain a Senior Compliance Analyst on a contract basis, full-time (40 hours/wk), for an initial 3-month term.The Senior Compliance Analyst will be responsible for managing audits and testing of various controls related to regulatory compliance. The candidate must...

Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...

Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...

Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...

Investment Management Firm (100B+ AUM) Fulltime Hybrid, 3 days in office in Chicago Loop Full relocation available Base + Bonus 140k - 160k Robust benefits package Job Details:Code, test, and implement investment compliance rules in Charles River IMS (CRIMS) Interpret investment agreements and documents Identify compliance requirements and establish...

Description : This job is responsible for supporting the execution of the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy and the Compliance and Operational Risk Management Program. Key responsibilities include assisting with identifying, escalating, and mitigating risks in a timely manner, supporting...

Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...

How to Maximize your opportunity to do rewarding work, your future leadership potential, and your career growth?Join an Industry Leader [Become one, too!] Octapharma Plasma offers professional opportunities that make a meaningful difference. We enhance the lives of patients who need our life-saving medicines. We reward the donors who provide the plasma we...

Overview Job Summary Trains team members and performs coding audits. Reviews clinical documentation and diagnostic results as appropriate to extract data and apply appropriate ICD9/10-CM and CPT 4 codes for billing internal and external reporting, research and regulatory compliance. Assists Coding Director, Coding Manager or Coding Supervisor with coding...

Garden City Equity is a people-first holding company investing in exceptional founder & family-owned businesses. We live by our core values of serving others, pursuing excellence, seeking simplicity, staying positive and prioritizing family.About the Role:The Chief Financial Officer (“CFO”) will be responsible for driving operational excellence and...