Regulatory Compliance Analyst

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 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 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...

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,...

Compliance Analyst The Compliance Department at Millennium serves to adopt, implement, and enforce a Compliance program, including policies and procedures, processes, systems, controls, surveillance, testing and reporting, which is designed to prevent or detect violations of applicable laws, rules and regulatory requirements and Firm policies. As a...

We are seeking a Compliance Analyst to join a growing team in Miami. As a Compliance Analyst, you will play a critical role in ensuring that our firm adheres to regulatory requirements and industry best practices. You will work closely with our compliance team to develop and maintain effective compliance programs, monitor regulatory changes, and provide...

We are seeking a Compliance Analyst to join a growing team in Miami. As a Compliance Analyst, you will play a critical role in ensuring that our firm adheres to regulatory requirements and industry best practices. You will work closely with our compliance team to develop and maintain effective compliance programs, monitor regulatory changes, and provide...

Role Overview:Our client is an asset management firm in Miami, FL. They are seeking a Compliance Analyst/Officer to join their team and report to the CCO.Key Responsibilities:Regulatory Compliance: Ensure compliance with industry regulations, especially those set by financial regulatory bodies.Policy Development: Assist in the development, implementation,...

Role Overview:Our client is an asset management firm in Miami, FL. They are seeking a Compliance Analyst/Officer to join their team and report to the CCO.Key Responsibilities:Regulatory Compliance: Ensure compliance with industry regulations, especially those set by financial regulatory bodies.Policy Development: Assist in the development, implementation,...

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...

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...

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...

Position Overview: The primary role of the Compliance Risk Analyst is to guarantee that Educational Federal Credit Union adheres to all relevant regulatory standards. This position collaborates with various departments to align compliance initiatives with organizational objectives, ensures centralized tracking of compliance management, and serves as a point...

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...

We are seeking a Compliance Analyst with light experience who wants to take their career to the next level. In this position, you will be working closely with the CCO and be responsible for the following: Assist with research, analysis and implementation of updated compliance policies and procedures based on existing and new changes in regulations.Evaluate...