Regulatory Compliance Specialist

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...

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...

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...

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...

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...

Current Employees:If you are a current Staff, Faculty or Temporary employee at the University of Miami, please click here to log in to Workday to use the internal application process. To learn how to apply for a faculty or staff position using the Career worklet, please review this tip sheet.The department of Psychiatry has an exciting opportunity for a...

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...

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,...

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...

Company: Bureau Veritas North AmericaPosition Overview: We are seeking a knowledgeable Landscape Compliance Specialist to join our team. This role is essential in ensuring adherence to landscaping regulations and standards.Key Responsibilities: - Provide expert guidance and support to field inspectors in the enforcement of landscaping codes. - Conduct...

The Opportunity Delaware North Gaming is hiring a Compliance Specialist to join our team at Gamewise. As a Compliance Specialist, you will work fully remote and be responsible for ensuring that all casino operations adhere to regulatory standards. If you are looking for a role that allows you to leverage your expertise in regulatory compliance, safeguard the...

Job Title:EH&S Principal SpecialistCompany:Raytheon TechnologiesJob Summary:We are seeking a highly skilled EH&S Principal Specialist to drive regulatory compliance and adherence to EH&S standards, contribute to EH&S programs, and foster a culture of collaboration and shared responsibility.Key Responsibilities:Recognize, evaluate, and control hazardous...

Job Title: Tax Compliance SpecialistWe are seeking a highly skilled Tax Compliance Specialist to join our team at World Fuel Services, a global leader in the industry.This is a unique opportunity to play a crucial role in supporting federal, state, and local tax compliance across all World Fuel Services entities. As a Tax Compliance Specialist, you will be...

Job OverviewThe Regulatory Compliance and Risk Assessment Expert plays a crucial role in supporting the Compliance Manager in the formulation and execution of Compliance and Risk Management initiatives. This position ensures adherence to relevant local, state, and federal regulations, as well as industry benchmarks.Key Responsibilities:Assist in the design,...

Job Overview Associa is seeking a Regulatory Compliance Officer to enhance our team. In this role, you will collaborate with clients and vendors while coordinating with various departments within Associa. Success in this position requires exceptional customer service abilities and the capacity to manage multiple initiatives simultaneously. What We Provide:...