Regulatory Compliance Associate

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...

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...

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...

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...

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....

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...

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,...

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...

Seeking a Compliance Associate to cover Asset Management / Advisory BusinessWe are seeking a candidate who will be responsible for working on policies & procedures for the compliance program, dealing with regulators and communicating changes to the businessYour role:Assists in the development of policies and procedures to comply with regulatory...

Seeking a Compliance Associate to cover Asset Management / Advisory BusinessWe are seeking a candidate who will be responsible for working on policies & procedures for the compliance program, dealing with regulators and communicating changes to the businessYour role:Assists in the development of policies and procedures to comply with regulatory...

Job OverviewThe Regulatory Compliance and Risk Oversight Specialist plays a crucial role in supporting the Compliance Manager in the development and execution of Compliance and Risk Management Programs. This position ensures adherence to relevant local, state, and federal regulations, as well as industry standards.Key Responsibilities:Assist in the...

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...

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...