Regulatory Compliance Analyst

SearchTower is conducting a search for a Regulatory Compliance Analyst for one of the Industry's leading Independent Broker Dealers for successful and experienced, Financial Advisors. The Regulatory Analyst will support the Firm’s efforts to respond to regulatory requests, customer complaints, and external requests. As a member of the Compliance team, the...

SearchTower is conducting a search for a Regulatory Compliance Analyst for one of the Industry's leading Independent Broker Dealers for successful and experienced, Financial Advisors. The Regulatory Analyst will support the Firms efforts to respond to regulatory requests, customer complaints, and external requests. As a member of the Compliance team, the...

SearchTower is conducting a search for a Regulatory Compliance Analyst for one of the Industry's leading Independent Broker Dealers for successful and experienced, Financial Advisors. The Regulatory Analyst will support the Firm’s efforts to respond to regulatory requests, customer complaints, and external requests. As a member of the Compliance team, the...

SearchTower is conducting a search for a Regulatory Compliance Analyst for one of the Industry's leading Independent Broker Dealers for successful and experienced, Financial Advisors. The Regulatory Analyst will support the Firm’s efforts to respond to regulatory requests, customer complaints, and external requests. As a member of the Compliance team, the...

SearchTower is conducting a search for a Regulatory Compliance Analyst for one of the Industry's leading Independent Broker Dealers for successful and experienced, Financial Advisors. The Regulatory Analyst will support the Firm’s efforts to respond to regulatory requests, customer complaints, and external requests. As a member of the Compliance team, the...

The Regulatory Reporting Business Analyst will be responsible for providing requirements for new and changes to existing regulatory reporting. This includes new requirements from the bureaus, etc, and coordinating with the regulatory reporting business unit, application and reporting teams on issues and changes. ROLE RESPONSIBILITIES Coordinate the...

ROLE SUMMARY The Regulatory Reporting Business Analyst will be responsible for providing requirements for new and changes to existing regulatory reporting. This includes new requirements from the bureaus, etc, and coordinating with the regulatory reporting business unit, application and reporting teams on issues and changes. ROLE RESPONSIBILITIES Coordinate...

Job ID X) DescriptionThe IT Compliance Analyst will be responsible for ensuring that our organization complies with all relevant regulatory requirements and internal policies related to IT systems and controls. This role involves working closely with auditors, stakeholders, and cross-functional teams to assess, develop, and implement IT compliance...

Job ID - (2400001X) Description The IT Compliance Analyst will be responsible for ensuring that our organization complies with all relevant regulatory requirements and internal policies related to IT systems and controls. This role involves working closely with auditors, stakeholders, and cross-functional teams to assess, develop, and implement IT...

Legal.io is working with a leading consumer finance/financial services company looking to retain a Senior Compliance Analyst on a contract basis, full-time (40 hours/wk), for an initial 3-month term. The Senior Compliance Analyst will be responsible for managing audits and testing of various controls related to regulatory compliance. The candidate must...

Legal.io is working with a leading consumer finance/financial services company looking to retain a Senior Compliance Analyst on a contract basis, full-time (40 hours/wk), for an initial 3-month term. Make sure to read the full description below, and please apply immediately if you are confident you meet all the requirements. The Senior Compliance Analyst...

Legal.io is working with a leading consumer finance/financial services company looking to retain a Senior Compliance Analyst on a contract basis, full-time (40 hours/wk), for an initial 3-month term.The Senior Compliance Analyst will be responsible for managing audits and testing of various controls related to regulatory compliance. The candidate must...

Legal.io is working with a leading consumer finance/financial services company looking to retain a Senior Compliance Analyst on a contract basis, full-time (40 hours/wk), for an initial 3-month term.The Senior Compliance Analyst will be responsible for managing audits and testing of various controls related to regulatory compliance. The candidate must...

Legal.io is working with a leading consumer finance/financial services company looking to retain a Senior Compliance Analyst on a contract basis, full-time (40 hours/wk), for an initial 3-month term.The Senior Compliance Analyst will be responsible for managing audits and testing of various controls related to regulatory compliance. The candidate must...

Fintech Company (1523)Charlotte, NC- Ballantyne Corporate PlaceHybrid- 3 days onsite per weekNeeded ASAP6 month contract +Only one interview Complaints/Regulatory Compliance Specialist NO FRAUD EXPERIENCE REQUIRED....THEY DON'T DO INVESTIGATIONS Looking for somebody who has an audit background, understands regulatory compliance, and has done audits in the...

Fintech Company (1523)Charlotte, NC- Ballantyne Corporate PlaceHybrid- 3 days onsite per weekNeeded ASAP6 month contract +Only one interview Complaints/Regulatory Compliance Specialist NO FRAUD EXPERIENCE REQUIRED....THEY DON'T DO INVESTIGATIONS Looking for somebody who has an audit background, understands regulatory compliance, and has done audits in the...

Description Elevate Your Career Work where your ideas have impact COMPANY Allspring Global Investments is a leading independent asset management firm that offers a broad range of investment products and solutions designed to help meet clients' goals. At Allspring, our vision is to inspire a new era of investing that pursues both financial returns and...

The Senior Ethics and Compliance Analyst assists in the day to day responsibility for systematic assessment of ethics risks; interpretation and application of ethical standards; communication of corporate values and ethical expectations through effec Compliance Analyst, Compliance, Analyst, Senior, Business Partner, Technology

More than a career - a chance to make a difference in people's lives. Build an exciting, rewarding career with us - help us make a difference for millions of people every day. Consider joining the Duke Energy team, where you'll find a friendly work environment, opportunities for growth and development, recognition for your work, and competitive pay and...

About the job Lead Systems Compliance Analyst Lead Systems Compliance Analyst needs Minimum of 2-3 years experience managing Electronic Communications data integrations Lead Systems Compliance Analyst requires: Iselin, NJ; Charlotte, NC Hybrid role Experience with Compliance technology systems related to Electronics Communications Surveillance Experience...