Compliance Officer

Role: Compliance Officer Duration: 9mo+ Location: Hybrid (3x a wk onsite) in Charlotte, NC Client: Large financial client Summary: This is for the Market Conduct Program - they are in charge of building out the surveillance officer model and owning the supervisory procedures. They need people that come from a regulatory compliance background in the...

Role: Compliance OfficerDuration: 9mo+Location: Hybrid (3x a wk onsite) in Charlotte, NC Client: Large financial clientSummary:This is for the Market Conduct Program - they are in charge of building out the surveillance officer model and owning the supervisory procedures. They need people that come from a regulatory compliance background in the...

Oversees compliance risk assessments to identify compliance issues, concerns, and deficiencies. Develops and executes monitoring and testing plans to reasonably ensure compliance with applicable laws, regulations, and internal policies and standards Compliance, Compliance Officer, Manager, Officer, Trust, Monitoring, Business Services

Please note that candidates must have a Compliance background related to Markets / Trading with the ability to create and write out Supervisory procedures in the space. Client: Banking Location: Charlotte, NC (Must be able to sit onsite 3 days per week.) Length: 9+ month Assignment Pay: $55 - $60/hour W2 (No Corp-to-Corp) Skills: Previous experience in...

The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status. Need...

The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status. Need...

The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status. Need...

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...

The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status. Need...

The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status. Need...

Responsible for conducting compliance risk oversight of assigned business units and/or functions. Executes compliance risk management activities to reasonably ensure compliance with the Compliance Risk Management Policy and Framework. ESSENTIAL DUTI Compliance, Officer, Management, Banking, Business Services, Business

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...

A large bank is hiring for Compliance Officers and looking to do interviews immediately This role could convert to a direct hire role.Contract Length: Duration: 9 monthsCharlotte, NC - onsite 3 days a week in UptownRate: $57-61 an hourTop Requirements:Previous experience in compliance within the markets/trading industry, preferably with knowledge of...

A large bank is hiring for Compliance Officers and looking to do interviews immediately! This role could convert to a direct hire role.Contract Length: Duration: 9 monthsCharlotte, NC - onsite 3 days a week in UptownRate: $57-61 an hourTop Requirements:Previous experience in compliance within the markets/trading industry, preferably with knowledge of...

A large bank is hiring for Compliance Officers and looking to do interviews immediately! This role could convert to a direct hire role.Contract Length: Duration: 9 monthsCharlotte, NC - onsite 3 days a week in UptownRate: $57-61 an hourTop Requirements:Previous experience in compliance within the markets/trading industry, preferably with knowledge of...

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...

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...