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80 sec securities compliance examiner jobs

Corporate Finance Loan Administrator - Finance and Investment Industry Opportunity

Bank/Broker Dealer New York, NY

* Assisting the Regional Head of Compliance in executing the overall compliance strategy * Develop and manage the annual compliance plan * Provide… VelvetJobs.com

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Corporate Compliance Manager Regulatory Examinations - Securities

JPMorgan Chase 100+ Reviews New York, NY

* Provide strategic advice, communications and regular updates to management regarding the significant matters being handled… Beyond.com

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Senior SEC and SOX Compliance Analyst

Qualys 69 Reviews Redwood City, CA

SEC Reporting • Assist with the preparation of the Annual Report on Form 10-K and Quarterly Reports on Form 10-Q, including the preparation of… StartWire

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Examiner Market Regulation, Trading & Financial Compliance Examinations

Financial Industry Regulatory Authority, Inc. 100+ Reviews Chicago, IL

Conduct on-site examinations of registered broker-dealers and assess the financial and operational condition, and compliance with securities rules… Beyond.com

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Compliance Associate

National Life Group 32 Reviews Montpelier, VT

as assigned by the Vice President - Compliance. The person in this position is also responsible for ensuring Firm compliance with all applicable SEC… Beyond.com

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Associate Registrar-Athletics Compliance

NCAA 12 Reviews Auburn, AL

within the Office of the Registrar Essential functions include but are not limited to: Evaluates and certifies the eligibility of new, continuing… Beyond.com

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BlackRock Compliance Risk and Controls, Vice President - Finance and Investment Industry Opportunity

BlackRock 100+ Reviews New York, NY

The Legal & Compliance Vice President will work with the team to continue to evolve a globally aligned risk and control compliance methodology. This… VelvetJobs.com

  • Overview
  • Reviews
  • Salaries

Associate Compliance Officer

Russell Investments 100+ Reviews United States

of the individual in this position include: * Gathering of data, input, and review for various regulatory filings for the U.S. regulators, including… Beyond.com

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Associate Compliance Officer - Finance and Investment Industry Opportunity

Russell Investments 100+ Reviews Seattle, WA

of the individual in this position include: • Gathering of data, input, and review for various regulatory filings for the U.S. regulators, including… VelvetJobs.com

  • Overview
  • Reviews
  • Salaries

Senior Compliance Associate

MetLife 100+ Reviews Sacramento, CA

** * Ensures agency activities and materials comply with company policy and state and federal insurance department regulations. * Serves as back-up… Beyond.com

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Vice president, regulatory compliance - Finance and Investment Industry Opportunity

Oaktree 14 Reviews Los Angeles, CA

include: • Developing systems and procedures to ensure regulatory compliance with SEC requirements, including the Investment Advisers Act of… VelvetJobs.com

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SEC Compliance Associate - Corporate Financial Reporting - Finance and Investment Industry Opportunity

JPMorgan 100+ Reviews New York, NY

Corporate Financial Reporting (CFR) provides "best in class" reporting to both our internal and external clients. Best in class reporting would… VelvetJobs.com

  • Overview
  • Reviews
  • Salaries

SEC Compliance Associate - Corporate Financial Reporting

JPMorgan Chase 100+ Reviews New York, NY

Corporate Financial Reporting (CFR) provides "best in class" reporting to both our internal and external clients. Best in class reporting would… Beyond.com

  • Overview
  • Reviews
  • Salaries

Corporate Finance Loan Administrator - Finance and Investment Industry Opportunity

Bank/Broker Dealer New York, NY

* Assisting the Regional Head of Compliance in executing the overall compliance strategy * Develop and manage the annual compliance plan * Provide… VelvetJobs.com

  • Web Search

BlackRock Compliance Risk and Controls, Vice President or Associate (NYC or Boston)

BlackRock 100+ Reviews New York State

* * The Legal & Compliance Vice President will work with the team to continue to evolve a globally aligned risk and control compliance methodology… Beyond.com

  • Overview
  • Salaries

BlackRock Compliance Risk and Controls, Vice President (Boston or New York) - Finance and Investment Industry Opportunity

BlackRock 100+ Reviews Boston, MA

The Legal & Compliance Vice President will work with the team to continue to evolve a globally aligned risk and control compliance methodology. This… VelvetJobs.com

  • Overview
  • Reviews
  • Salaries
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