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Compliance Examiner



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Compliance Administrator
Compliance Analyst
Compliance Assistant
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Senior-Level Compliance

Related Jobs 13 matches

  • Compliance Examiner - Quality Assurance Analyst
    Saint Louis, MO
    Compliance Examiner - Quality Assurance Analyst','160035220','!*!The Compliance Representative will ensure that the brokerage and securities areas are in compliance with various laws and regulations.  Develops and enforces compliance policies and procedures.  Acts as the primary compliance consultant/resource for assigned location, business units, or products with respect to questions, consulting, and training. ..



  • Compliance Examiner, TFCE Options- Market Regulation- New York, NY
    New York City, NY
    Compliance Examiner, TFCE Options- Market Regulation- New York, NY','005430','!*!We Work to Protect Investors. Join our Team.   FINRA is seeking a well-qualified individual for our Compliance Examiner opening in New York, NY. To be considered for this position, please submit your resume through our career site at **MEMBERS ONLY**SIGN UP NOW***- no phone calls,..



  • Compliance Examiner III
    Tampa, FL
    Compliance Examiner III','1601567','!*!Job Summary:   Position requires high amount of travel all over the continental Unites States.   Under limited supervision, uses extensive knowledge of the brokerage, investment advisory, and banking industries, obtained through education and/or experience, training and/or certification, to conduct and/or lead onsite compliance examinations of Private Client..



  • Compliance Examiner I
    Tampa, FL
    Compliance Examiner I','1602252','!*!Job Summary:   Under limited supervision, uses specialized knowledge of the brokerage, investment advisory, and banking industries, obtained through education and/or experience, training and/or certification, to conduct onsite compliance examinations of Private Client Group offices.  Also, conducts periodic oversight reviews, makes independent determinations, takes appropriate remedial actions, and..



  • Senior Compliance Examiner, CG-0570-13, Temporary Promotion Opportunity Not-to-Exceed 6 Months
    Knoxville, TN
    Duties - Conducts, supervises, and directs highly complex or sensitive bank examinations, investigations and other activities relating to consumer protection, fair lending and civil rights laws and regulations, Community Reinvestment Act (CRA) and related enforcement responsibilities. - Submits confidential reports of examination and CRA public evaluations. - Conducts fair lending..




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