Compliance Analyst

Compliance Analyst (San Francisco, CA): Our client, a thriving $2B+ private/growth equity firm, is seeking to hire a Compliance Analyst. This position will collaborate closely with the Deputy Chief Compliance Officer, the Partner, CFO, and CCO, providing day-to-day support to the compliance department in managing the firm’s compliance program.Key...

Compliance AnalystOur client located in Dallas, TX is in need of a Compliance Analyst with Life Insurance Industry experience. This is a direct hire opportunity. Company is offering a large relocation package and housing support if needed. For the right candidate they'd offer a Senior Title.Company Profile:Growing Life Insurance CompanyCompliance Analyst...

Are you an expert in navigating the intricate world of cloud compliance and ensuring that systems align with ever-evolving regulatory standards? Do you have the analytical skills to assess, manage, and maintain compliance across cloud environments? If you're ready to build and maintain compliance frameworks that safeguard data and align with industry...

About us We were built on the philosophy that marketing and compliance can absolutely work in harmony and that this combined strategy would help build solid financial services firms. After 30+ years, this vision endures today. We strive to develop close relationships with a select number of financial services firms throughout the country and deliver timely,...

Phillip Capital Inc. Employment Opportunity in Chicago or New York Compliance Analyst Phillip Capital Inc. is dually registered with the SEC/FINRA as a self-clearing broker dealer and the CFTC as a registered Futures Commission Merchant (FCM). We offer the opportunity to grow your skills and make meaningful, visible contributions to both your team and the...

Required Skills & ExperienceHigh school diploma or equivalent Minimum of 1+ year experience within the mortgage industry and knowledge of the overall consumer mortgage lending process (loan inception through closing) Strong customer service skills, problem solving experience, and computer aptitude Nice to Have Skills & ExperienceMortgage compliance...

Required Skills & ExperienceHigh school diploma or equivalent Minimum of 1+ year experience within the mortgage industry and knowledge of the overall consumer mortgage lending process (loan inception through closing) Strong customer service skills, problem solving experience, and computer aptitude Nice to Have Skills & ExperienceMortgage compliance...

AVP, Sr. BSA Compliance AnalystRoseville, CA (onsite M-F)Full Time EmploymentSalary: 85k-$110k base salaryDescriptionUnder minimal supervision, the AVP, Senior BSA Compliance Analyst is responsible for account identification, analyzing and reporting any transactions believed to be associated with unusual and suspicious account activity such as potential...

Job Title: Surveillance Compliance AnalystAtria Wealth Solutions, Inc. is a leading wealth management solution holding company focused on delivering a clear path to the future of financial advice for financial professionals, financial institutions, and their clients.Headquartered in New York City, Atria's broker-dealer and investment adviser subsidiaries...

The Compliance Analyst is responsible for ensuring that all mortgage lending activities within the organization comply with federal, state, and local regulations. This role involves monitoring, analyzing, and reviewing the company’s mortgage operations to identify and address potential compliance issues, mitigate risks, and ensure adherence to applicable...

Company Overview:Join a dynamic, tech-focused hedge fund with approximately $3 billion in assets under management. Known for a forward-thinking approach to technology investments, our firm seeks a dedicated, knowledgeable, and proactive compliance leader to guide the development and implementation of the firm’s compliance function. This is a pivotal role,...

SummaryWe are seeking an experienced and analytical Senior Business Process & Compliance Analyst to join our team. In this role, you will evaluate and improve business processes to enhance efficiency, ensure compliance with regulatory requirements, and align with industry standards and internal policies. The ideal candidate will possess advanced process...

Position: Compliance Advertising Analyst Location: Topeka OR Lenexa, KS Job Id: 2159 # of Openings: 1 Position: Compliance Advertising Analyst Department: AE Wealth Management Compliance Reporting to: Compliance Director Location: Topeka, KS or Lenexa, KS - Onsite ...

Position: Compliance Advertising Analyst Location: Topeka OR Lenexa, KS Job Id: 2110 # of Openings: 1 Position: Compliance Advertising Analyst Department: AE Wealth Management Compliance Reporting to: Compliance Director Location: Topeka, KS or Lenexa, KS - Onsite ...

Sr. IT Security Compliance AnalystLeading Central North Dallas company has an immediate need for a Sr. IT Security Compliance Analyst. This role will develop, implement and audit IT security governance and risk management functions to ensure compliance with established internal controls, regulatory and legal requirements, policies, and standards.Requirements...

STARPLUS ENERGY LLC is an electrifying joint venture between Samsung and Stellantis. With a focus on innovation and excellence, we deliver cutting-edge solutions that empower the automotive industry as we transition towards an electric future. As a member of our team, you will play a vital role in fostering our company’s positive, diverse, and...

AML Compliance Analyst Job DescriptionBCforward is seeking a highly motivated AML Compliance Analyst to join our team in San Antonio, TX.Job Summary:We are looking for a skilled AML Compliance Analyst to interpret AML risk standards, guidelines, policies, and procedures. The ideal candidate will have strong research, analytical, and comprehension skills,...

The surveillance analyst position works directly with the Senior Analyst team leader. The role will include post-trade reviews on financial products to identify potential risks and violations of broker-dealer policies. This role will also include the identification of trends and patterns of the advisor’s trading behavior to mitigate undue risk to the...

Business Analyst – ISO Compliance New York City, NY Hybrid – two times a week in office- on demand basis)Job Description:Business Analyst – ISO Compliance10 + years of Insurance experience in Property & Casualty (P&C) Insurance. Insurance policy and claims system experienced. Must have an experience on US Insurance Compliance like- ISO, Regulatory,...

AML/Fraud/ Compliance AnalystNew Castle, DE Contract( W2 and IC) Experience with SAR and Fraud.Good Financial Services background Advanced proficiency in Microsoft Word, Excel, Access, and Outlook.