Risk and Compliance Specialist
3 days ago
Top Stack is seeking a detail-oriented compliance professional to support regulatory and compliance functions, including managing broker-dealer activities and distribution efforts. This role focuses on ensuring compliance with various regulatory frameworks while assisting in key compliance initiatives.
Key Responsibilities:- Oversee the compliance framework for broker-dealers and registered representatives.
- Review marketing materials for adherence to SEC, FINRA, and internal policy requirements.
- Manage compliance issues with multiple teams.
- Collaborate on AML efforts and ensure KYC compliance.
- Analyze regulatory changes and assess the broker-dealer compliance program's effectiveness.
- Support regulatory responsibilities and ensure adherence to compliance frameworks.
- Bachelor's Degree Required.
- 1+ year of related experience within the investment management industry.
- Series 7 license is required.
- Strong knowledge of US Financial Regulations and Compliance Procedures.
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Compliance Risk Management Specialist
3 days ago
Philadelphia, Pennsylvania, United States WSFS Bank Full timeJob Title: Compliance Risk AnalystAt WSFS Bank, we are committed to creating a culture of inclusivity and support for our Associates. We empower them to grow their careers, guide our customers to secure their financial futures, and actively support our Communities so they can fully thrive.Job Summary:The Compliance Risk Analyst will be responsible for...
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Compliance Risk Manager
4 weeks ago
Philadelphia, Pennsylvania, United States Select Recruiting Group, LLC Full timeRisk and Compliance ProfessionalWe are seeking a detail-oriented Risk and Compliance professional to join our team at Select Recruiting Group, LLC. This role focuses on distribution-compliance matters, particularly in marketing material review, broker-dealer regulatory compliance, cross-border distribution compliance, and anti-money laundering (AML).Key...
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Compliance Officer
3 days ago
Philadelphia, Pennsylvania, United States Select Recruiting Group, LLC Full timeCompliance Risk Management OpportunityLocation: RemoteSelect Recruiting Group, LLC is seeking a highly skilled Compliance Risk Management professional to join our team. This is a full-time, permanent position that will be a hybrid of working from home as well as in-person in our office.Position Overview:We are looking for a detail-oriented Compliance Risk...
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Compliance and Financial Crime Risk Specialist
4 weeks ago
Philadelphia, Pennsylvania, United States Employee Relations Associates Full timeJob SummaryWe are seeking a highly skilled Compliance and Financial Crime Consultant to join our team at Employee Relations Associates.The ideal candidate will have experience in Financial Crimes, Operational Risk, Fraud, Sanctions, Anti-Bribery, and Corruption.Key ResponsibilitiesParticipate in or provide support for low complexity initiatives within...
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Risk Management Associate
3 days ago
Philadelphia, Pennsylvania, United States Strategic Risk Solutions Full timeJob OverviewWe are seeking a highly motivated and detail-oriented Operations Associate to join our team at Strategic Risk Solutions. As a key member of our Garnet Captive Services Division, you will play a critical role in supporting our clients and driving business growth.Key ResponsibilitiesReview and analyze submission information, including preliminary...
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Campaign Finance Compliance Specialist
4 days ago
Philadelphia, Pennsylvania, United States Spruce Street Compliance Full timeCampaign Finance Internship OpportunitySpruce Street Compliance, a woman-owned political consulting firm, is seeking a highly motivated and detail-oriented individual to join our team as a Campaign Finance Intern.Job Summary:The Campaign Finance Intern will work closely with our Compliance Associates to ensure the daily tasks associated with oversight and...
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Risk Management Specialist
3 days ago
Philadelphia, Pennsylvania, United States Community Behavioral Health. Full timeJob OverviewCommunity Behavioral Health is seeking a highly skilled Risk Management Specialist to support the execution of our Risk Management framework and strategy throughout the organization.The successful candidate will work closely with department leadership to drive internal risk management activities, including identification and mitigation of risk,...
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Philadelphia, Pennsylvania, United States Comcast Full timeJob SummaryComcast is seeking a highly skilled Accounting Manager, Risk Assessment Specialist to join our team. This role will be responsible for performing risk assessments of key accounts and financial reporting processes for the Comcast enterprise.Key ResponsibilitiesPerform risk assessments and internal control evaluations to identify potential risks and...
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Risk Management Solutions Executive
1 week ago
Philadelphia, Pennsylvania, United States The Risk Management Association Full timeEmpowering Financial Services LeadersAt ProSight Financial Association, we're committed to strengthening and advancing the financial services industry. Our strategic combination of RMA's expertise in risk management and BAI's knowledge in retail banking and regulatory compliance enables us to provide unparalleled solutions for financial services leaders.Job...
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Compliance Specialist
1 month ago
Philadelphia, Pennsylvania, United States Destinationone Consulting Full timeCompliance Officer Job DescriptionDestinationone Consulting is seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will play a critical role in ensuring that our company and its employees comply with internal policies and external regulations.Key Responsibilities:Develop and implement compliance policies and procedures...
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Compliance Specialist
4 weeks ago
Philadelphia, Pennsylvania, United States Destinationone Consulting Full timeJob Title: Compliance OfficerDestinationone Consulting is seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will play a critical role in ensuring that our company and its employees comply with internal policies and external regulations.Key Responsibilities:Develop and implement compliance policies and procedures to...
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Risk Management Solutions Executive
11 hours ago
Philadelphia, Pennsylvania, United States The Risk Management Association Full timeEmpowering Financial Services LeadersAt ProSight Financial Association, we're committed to strengthening and advancing the financial services industry. Our strategic combination of RMA's expertise in risk management and BAI's knowledge in retail banking and regulatory compliance creates a unique opportunity for financial services leaders to thrive.Job...
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Compliance Specialist
2 weeks ago
Philadelphia, Pennsylvania, United States destinationone Consulting Full timeCompliance Officer Job DescriptionAt destinationone Consulting, we are seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will play a critical role in ensuring that our company and its employees comply with internal policies and external regulations.Key Responsibilities:Develop and implement compliance policies and...
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Compliance Specialist
4 weeks ago
Philadelphia, Pennsylvania, United States Asociacion Puertorriquenos En Marcha Inc Full timeJob Title: Compliance SpecialistAs a Compliance Specialist at Asociacion Puertorriquenos En Marcha Inc, you will play a critical role in ensuring that our Child, Youth and Family Service program meets the highest standards of quality and compliance.Key Responsibilities:Develop and implement quality assurance standards and procedures in accordance with...
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EEOC and Data Privacy Compliance Specialist
3 hours ago
Philadelphia, Pennsylvania, United States Eurofins USA Full timeJob Title: EEOC and Data Privacy Compliance SpecialistAt Eurofins USA, we are seeking a highly skilled EEOC and Data Privacy Compliance Specialist to join our team. As a key member of our HR department, you will be responsible for ensuring the accurate collection, review, and submission of employee data to the Equal Employment Opportunity Commission (EEOC)...
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Compliance Specialist
4 weeks ago
Philadelphia, Pennsylvania, United States Asociacion Puertorriquenos En Marcha Inc Full timeJob Title: Compliance SpecialistWe are seeking a highly skilled Compliance Specialist to join our team at Asociacion Puertorriquenos En Marcha Inc. The successful candidate will be responsible for ensuring that our Child, Youth and Family Service program meets established performance and quality standards.Key Responsibilities:Interpret and implement quality...
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Compliance Specialist
2 days ago
Philadelphia, Pennsylvania, United States Asociacion Puertorriquenos En Marcha Inc Full timeJob OverviewAsociación Puertorriqueños en Marcha (APM) is a nonprofit organization in Philadelphia, PA providing human services to the community. We are seeking a Compliance Specialist to ensure that our Child, Youth and Family Service program adheres to established performance and quality standards.The Compliance Specialist will be responsible for...
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Compliance Specialist
4 weeks ago
Philadelphia, Pennsylvania, United States Asociacion Puertorriquenos En Marcha Inc Full timeJob Title: Compliance SpecialistAs a Compliance Specialist at Asociacion Puertorriquenos En Marcha Inc, you will play a critical role in ensuring that our Child, Youth and Family Service program meets established performance and quality standards.Key Responsibilities:Interpret and implement quality assurance standards and procedures in accordance with the...
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Compliance Specialist
3 weeks ago
Philadelphia, Pennsylvania, United States Asociacion Puertorriquenos En Marcha Inc Full timeJob Title: Compliance SpecialistWe are seeking a highly skilled Compliance Specialist to join our team at Asociacion Puertorriquenos En Marcha Inc. The successful candidate will be responsible for ensuring that our Child, Youth and Family Service program meets established performance and quality standards.Key Responsibilities:Interpret and implement quality...
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Risk Management Specialist
4 weeks ago
Philadelphia, Pennsylvania, United States Community Behavioral Health. Full timeJob SummaryCommunity Behavioral Health is seeking a highly skilled Risk Analyst to support the execution of our Risk Management framework and strategy throughout the organization. As a key member of our team, you will work closely with department leadership to drive internal risk management activities, including risk identification and mitigation,...