Compliance Officer

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

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...

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

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

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 and directing compliance risk oversight of assigned business units (Broker Dealer) and/or functions. Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise Compliance Ma Compliance Officer, Broker, Compliance, Officer, Senior, Management, Banking

Lead the tuning and optimization of existing models for enhanced accuracy and efficiency, find the gaps in existing models and develop/implement new models. Conduct detail testing and validation of AML models, document the results and recommend impro Compliance Officer, Optimization, Enterprise, Officer, Compliance, Operations Analyst, Business Services

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...

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...

Position Number: 012560 Department: Athletics (Adm) Employment Type: Permanent - Full-time Months Per Year: 12 Essential Duties and Responsibilities: This position is responsible for interpreting NCAA rules and regulations and ensuring the UNC Charlotte remains in compliance with those rules. + Collect, review, and report data on a wide variety of...