Senior Regulatory Compliance Associate

Key Responsibilities:Regulatory Adherence: Support the Bank in maintaining compliance with consumer and general regulations, ensuring alignment with statutory requirements.Ongoing Monitoring: Conduct regular reviews of consumer and regulatory regulations to ensure ongoing compliance and address any issues that arise.Compliance Guidance: Provide assistance...

Key Responsibilities:Regulatory Adherence: Support the Bank in maintaining compliance with consumer and general regulations, ensuring alignment with statutory requirements.Ongoing Monitoring: Conduct regular reviews of consumer and regulatory regulations to ensure ongoing compliance and address any issues that arise.Compliance Guidance: Provide assistance...

We are seeking a Regulatory Compliance Specialist with experience from a broker-dealer to join our clients team. This role requires fluency in English and Spanish, and FINRA licensing is a plus. Responsibilities Liaise with all relevant departments to ascertain current compliance levels. Provide training and education to team members regarding regulatory...

The Senior Compliance Associate, Advisory, has the responsibility of performing tasks related to the development of policies and procedures, assisting in internal and external audits, the filing of the required documentation under SEC regulations and other compliance related tasks. Works with the department leader in the development of reports and...

What would a day @ Nium look like? Develop and maintain policies and procedures to ensure compliance with relevant regulations and industry standards, including reviewing and updating existing policies as necessary Prepare and submit internal and external reporting such as internal MI and regulatory filings to the regulator, ensuring accuracy and timeliness,...

Position Overview:As a Regulatory Compliance Specialist at Leeds Professional Resources, you will be instrumental in ensuring that our organization meets all legal standards and internal policies. Your role will involve overseeing compliance across various departments, guaranteeing that our operations align with legal requirements and internal protocols....

The Senior Compliance Associate, Advisory, has the responsibility of performing tasks related to the development of policies and procedures, assisting in internal and external audits, the filing of the required documentation under SEC regulations and other compliance related tasks. Works with the department leader in the development of reports and...

Job Summary: The Compliance Analysts primary function is to ensure Educational Federal Credit Unions compliance with all applicable regulatory requirements. This position coordinates compliance initiatives with other departments in accordance with business plans, ensures compliance management is tracked centrally, and acts as liaison with various business...

Job Summary: The Compliance Analyst's primary function is to ensure Educational Federal Credit Union's compliance with all applicable regulatory requirements. This position coordinates compliance initiatives with other departments in accordance with business plans, ensures compliance management is tracked centrally, and acts as liaison with various business...

Job DescriptionJob DescriptionJob Summary:The Compliance Analyst's primary function is to ensure Educational Federal Credit Union's compliance with all applicable regulatory requirements. This position coordinates compliance initiatives with other departments in accordance with business plans, ensures compliance management is tracked centrally, and...

We are looking for a Regulatory Compliance Analyst with a background in broker-dealer operations to support our client's compliance initiatives. Proficiency in both English and Spanish is essential, and having FINRA licensing will be advantageous.Key ResponsibilitiesCollaborate with various departments to evaluate current compliance standards.Facilitate...

We are seeking a Regulatory Compliance Specialist with experience from a broker-dealer to join our client's team. This role requires fluency in English and Spanish, and FINRA licensing is a plus.ResponsibilitiesLiaise with all relevant departments to ascertain current compliance levels.Provide training and education to team members regarding regulatory...

We are seeking a Regulatory Compliance Specialist with experience from a broker-dealer to join our client's team. This role requires fluency in English and Spanish, and FINRA licensing is a plus.ResponsibilitiesLiaise with all relevant departments to ascertain current compliance levels.Provide training and education to team members regarding regulatory...

Exciting Opportunity: A prominent role for a Compliance Officer is available within a reputable broker-dealer. This position offers remarkable prospects for professional advancement with a flexible work arrangement.Key Responsibilities:Risk and Compliance ManagementPerform audits and evaluations of broker/dealer branch offices to ensure adherence to...

About BetrFounded in 2022 by Joey Levy and Jake Paul, Betr is a leading sports gaming and sports media company focused on enhancing the consumption of sports through entertainment. Betr's gaming products are differentiated through a unique product experience with a simplified user interface that is catered to the casual sports fan, enabling Betr to capture...

About Betr Founded in 2022 by Joey Levy and Jake Paul, Betr is a leading sports gaming and sports media company focused on enhancing the consumption of sports through entertainment. Betr's gaming products are differentiated through a unique product experience with a simplified user interface that is catered to the casual sports fan, enabling Betr to capture...

We are seeking a compliance individual who is to join an exciting client of ours who is growing and expanding their headcount. Looking for someone who is experienced in SEC compliance regulations and procedures. ResponsibilitiesStay current with SEC regulations, industry standards, and applicable laws to ensure company compliance, including the development,...

We are seeking a compliance individual who is to join an exciting client of ours who is growing and expanding their headcount. Looking for someone who is experienced in SEC compliance regulations and procedures. ResponsibilitiesStay current with SEC regulations, industry standards, and applicable laws to ensure company compliance, including the development,...

We are seeking a compliance individual who is to join an exciting client of ours who is growing and expanding their headcount. Looking for someone who is experienced in SEC compliance regulations and procedures. ResponsibilitiesStay current with SEC regulations, industry standards, and applicable laws to ensure company compliance, including the development,...

Job SummaryConduct Detrimental LLC is seeking a highly skilled Senior Legal Counsel to join its team. As a Senior Legal Counsel, you will be responsible for providing expert legal advice and support to the organization in relation to disputes and regulatory matters.Key ResponsibilitiesDispute Resolution: Efficiently and effectively handle labor disputes...