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4,673 compliance examiner jobs

Senior Compliance Examiner, OTC Derivatives

National Futures Association Chicago, IL

include: • Develop a thorough understanding of the examination, monitoring, and investigative techniques utilized by NFA and relevant rules and… National Futures Association

  • Overview
  • Reviews
  • Salaries

Legal and Compliance Risk Examiner – Anti-Money Laundering Specialist, FInancial

Federal Reserve Bank of New York 94 Reviews New York, NY

The Legal and Compliance Risk Department of the Financial Institution Supervision Group (FISG) is looking for qualified professionals to supervise… Federal Reserve Bank of New York

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Marketing Compliance Examiner

Scottrade 100+ Reviews Saint Louis, MO

• Serve as Compliance single point of contact and liaison for all marketing and client communications. This includes: routing, obtaining and storing… Scottrade

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Bank Examiner, Consumer Compliance (Multiple Levels)

Federal Reserve Bank of Atlanta 26 Reviews Atlanta, GA

• Performs examinations and inspections of financial institutions, ensures compliance with applicable laws and regulations, and produces a comprehensive repor… Federal Reserve Bank of Atlanta

  • Overview
  • Reviews
  • Salaries

Senior Compliance Examiner, OTC Derivatives

National Futures Association 21 Reviews New York, NY

include: • Develop a thorough understanding of the examination, monitoring, and investigative techniques utilized by NFA and relevant rules and… National Futures Association

  • Overview
  • Reviews
  • Salaries

Consumer Compliance Examiner/Sr. Examiner, Analyst/Sr. Analyst

Federal Reserve Bank of San Francisco 60 Reviews San Francisco, CA

compliance examiners help promote market efficiency and fairness in consumer… Federal Reserve Bank of San Francisco

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Compliance Examiner Director

Freddie Mac 100+ Reviews McLean, VA

include: •Selection of counterparties for review based upon a risk-based annual planning process for planned reviews, and a referral process for Ad… Glassdoor

  • Overview
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Compliance Analyst (Examination and Review)

Special Counsel 65 Reviews Boston, MA

• Position reports to the Vice President, Compliance of infrastructure, monitoring and examination. • Creating annual compliance review schedule… CareerBuilder

  • Overview
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Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinat

Financial Industry Regulatory Authority Inc 100+ Reviews Chicago, IL

The Compliance Examiner conducts equities based operational audits for compliance with relevant FINRA, SEC, and… CareerBuilder

  • Overview
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Compliance Analyst (Examination and Review)

Leading Law Firm Boston, MA

Position reports to the Vice President, Compliance of infrastructure, monitoring and examination. Creating annual compliance review schedule… Ivy Exec

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Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinat

Financial Industry Regulatory Authority (FINRA) New York, NY

The Compliance Examiner conducts routine review and investigations of unusual market activity for evidence of… Ivy Exec

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State Compliance Examiner II

Santander Consumer USA 100+ Reviews Dallas, TX

The State Compliance Examiner is responsible for assisting the State Examinations Manager in SCUSA’s state… Glassdoor

  • Overview
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Wealth Management Compliance Branch Examiner - Finance and Investment Industry O

Morgan Stanley 100+ Reviews New York, NY

Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and… VelvetJobs.com

  • Overview
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Compliance Examiner—Documentation Compliance, OTC Derivatives

National Futures Association 21 Reviews New York, NY

include: • Analyze documents submitted by SDs and MSPs pursuant to implementing regulations under Section 4s of the Commodity Exchange Act… National Futures Association

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Compliance Officer, Compliance Examinations

McGraw Hill Financial 100+ Reviews New York, NY

Conduct on-site compliance examinations and issue written reports of work conducted and results. Select the… Ivy Exec

  • Overview
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Compliance Examiner (Mid-Career),

FDIC 100+ Reviews Salt Lake City, UT

(Applicants with status or those eligible under special hiring authorities, should apply under FDIC merit promotion announcement number… Glassdoor

  • Overview
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Bank Examiner, Consumer Compliance (Multiple Levels)

Federal Reserve Bank of Atlanta 26 Reviews Atlanta, GA

• Performs examinations and inspections of financial institutions, ensures compliance with applicable laws and regulations, and produces a comprehensive repor… Federal Reserve Bank of Atlanta

  • Overview
  • Reviews
  • Salaries
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