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356 investment compliance specialist jobs

Specialist, Investment Compliance – new

T.RowePrice Baltimore, MD

. This positions area of focus is Monitoring. PRINCIPAL RESPONSIBILITIES Performs responsibilities within a specific area of… Monster

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Investment Compliance Specialist

MFS 85 Reviews Boston, MA

* Using knowledge of regulatory requirements relating to investment c… Beyond.com

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Investment Advisory Compliance Specialist

NEXT Financial 5 Reviews Houston, TX

Knowledge & Skills Desired: • Required: 1) Bachelors degree or equivalent work experience 2) 2 years of industry experience… Glassdoor

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Specialist, Investment Compliance

T. Rowe Price 100+ Reviews Baltimore, MD

within a specific area of focus, as described below. Consistently meets or exceeds defined standards for timeliness and accuracy. Reviews the work of… Beyond.com

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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 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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Procurement Specialist - Project Construction Contracts

Belcan Corporation 77 Reviews Spartanburg, SC

Work in cooperation with capital project procurement to generate RFIs (requests for information), RFQs (request for quotation); provide answers to… TheLadders.com

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Compliance Specialist

OppenheimerFunds 100+ Reviews United States

• Represent Records Management Program as directed by the Enterprise Records Information Manager to solicit… OppenheimerFunds

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New Accounts Specialist

Edelman Financial Services 11 Reviews Tempe, AZ

• Generate OFAC report • Review new account documentation • Assign new account numbers as needed • Initiate process to obtain… Edelman Financial Services

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Legal & Compliance Officer

IMC Financial Markets 39 Reviews New York, NY

About IMC Asset Management IMC Asset Management is a privately owned, specialist asset management company that traces its roots to 1998 when it was… IMC Financial Markets

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COBRA and Compliance Specialist

Armada Hunt Valley, MD

Act as the designated client liaison for Client and Brokers for COBRA, enrollment and billing questions Process initial and COBRA qualifying event… Armada

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EXPERIENCED CLIENT SERVICE SPECIALIST NEEDED FOR LOCAL FINANCIAL FIRM

NAMEY FINANCIAL GROUP Jacksonville, FL

Jacksonville-based independent financial firm is looking for a part-time experienced Client Service Specialist to assist in the daily operations of… NAMEY FINANCIAL GROUP

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Compliance Specialist

Artisan Partners 9 Reviews Milwaukee, WI

Provide analytic support to the compliance program by coordinating data extraction from various databases Interpret and analyze data trends, identify… Ivy Exec

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Compliance Officer

Signature Financial Partners, LLC Washington, DC

• 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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