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354 Investment Compliance Specialist Jobs

Compliance Specialist - Finance and Investment Industry Opportunity

Bank/Broker Dealer New York, NY

Qualifications * Must have an undergraduate degree in Business, Finance, Economics or other related field * Two to four years Compliance or relevant… VelvetJobs.com

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Compliance Specialist - Finance and Investment Industry Opportunity

NY-based Bank/Broker-Dealer New York, NY

Qualifications * Must have an undergraduate degree in Business, Finance, Economics or other related field * Two to four years Compliance or relevant… VelvetJobs.com

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Investment Banking Compliance Specialist

Robert W. Baird 63 Reviews Charlotte, NC

• Provide oversight of the travel and entertainment expense report system with high level problem… Glassdoor

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Testing and Reporting Specialist IV

Fidelity Investments 100+ Reviews Westlake, TX

• Perform employer match and profit sharing, including non-uniform… Fidelity Investments

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Investment Advisor

The PrivateBank Milwaukee, WI

This individual will be responsible for ensuring an excellent client experience, including working with a team of specialists to manage the client… TheLadders.com

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Supervisory Information Technology Specialist

U.S. Securities and Exchange Commission 55 Reviews Washington, DC

The position is in the office of the Technology Controls Program (TCP). The employee is assigned to the program and serves as a unit supervisor and… TheLadders.com

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Underwriting Analytics and Compliance Specialist

Plante Moran 60 Reviews Auburn Hills, MI

For 16 consecutive years, Plante Moran has been recognized as one of the nations 100 Best Companies To Work For by FORTUNE magazine providing… Plante Moran

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Director Private Bank - Compliance

The Compliance Search Group New York, NY

He/she will work with senior business management to effectively implement new regulations and guidance’s; assist business/product management in… TheLadders.com

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Supervisory IT Specialist

U.S. Securities and Exchange Commission 55 Reviews Chicago, IL

This position is in the Office of Compliance Inspections and Examinations. A selection will be made in one of the following locations: Washington, DC… TheLadders.com

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Testing and Reporting Specialist IV

Fidelity Phones Roanoke, TX

• Perform employer match and profit sharing, including non-uniform… Jobs2Careers

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Compliance Director

Confidential Vienna, VA

• Supervise and conduct the review and approval of daily new business per account opening and suitability requirements for processing business (RIA… CareerBuilder

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Compliance Data Specialist/Analyst

MFS Investments 78 Reviews Boston, MA

Implements data analysis components of the compliance monitoring program, particularly the related to investment activities. This includes: (a… Ivy Exec

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Support Specialist 1 – new

KeyBank 100+ Reviews Cleveland, OH

ABOUT THE BUSINESS: Key Enterprise Risk Management provides leadership on risk management strategies and initiatives for credit, market, compliance… CareerBuilder

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Specialist, Retirement Plans

Envoy Air 100+ Reviews Irving, TX

plan documents and other regulatory documents and filings, review plan amendments drafted by legal dept. • Oversight of non-discrimination and… CareerBuilder

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Senior Corporate Compliance Specialist

MFS Investments 78 Reviews Boston, MA

Primary functions will include, but are not limited to: 1. Implements components of the compliance monitoring program, particularly the compliance… Ivy Exec

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