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52 associate junior compliance officer jobs in Wayne

Compliance Officer

Valley National Bank 52 Reviews Wayne, NJ

include but are not limited to: • Develop and maintain current knowledge of bank regulations. • Prepare and lead monitoring programs and may… CareerBuilder

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Senior Compliance Associate - Monitoring & Examinations

FXCM, Inc. 100+ Reviews New York, NY

• Execute continuous monitoring programs to ascertain the strength of the firm's internal controls and ensure adherence to applicable laws and… FXCM, Inc.

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Compliance Associate - jr. de

Perfect Fit Placement New York, NY

• Advise clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives • Advise on… Perfect Fit Placement

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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

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Compliance Examiner - Member Regulation, Sales Practice

Financial Industry Regulatory Authority Inc 100+ Reviews New York, NY

Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to protect investors and… CareerBuilder

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Compliance Manager Regulatory Examinations

JPMorgan Chase & Co 100+ Reviews New York, NY

Provide strategic advice, communications and regular updates to management regarding the significant matters being handled, including, but not… Ivy Exec

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Legal and Compliance Risk Examiner Anti-Money Laundering Specialist, Financial I

Federal Reserve Bank 69 Reviews New York, NY

**:** The Legal and Compliance Risk Department of the Financial Institution Supervision Group (FISG) is looking for qualified professionals to… Beyond.com

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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 business unit and activity for… Ivy Exec

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Financial Crimes Compliance Officer - Associate Director

The Compliance Search Group New York, NY

. • Ensure any necessary Suspicious Activity Reports are prepared and filed timely. • Prepare AML and sanctions risk… TheLadders.com

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Compliance Examiner—Documentation Compliance, OTC Derivatives – new

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 Examiner

Cadaret Grant 3 Reviews Mount Arlington, NJ

We offer competitive salaries and a comprehensive benefits package for full-time employees. For more information on career opportunities, please… Syracuse.com

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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

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Financial Crimes Compliance Officer , Associate Director

Macquarie 100+ Reviews New York, NY

Overseeing the management of the Macquarie Americas Anti-Money Laundering/Counter Terrorist Financing ( AML/CTF ) Anti-Bribery Compliance ( ABC… Ivy Exec

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Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinat

Financial Industry Regulatory Authority (FINRA) New York, NY

Essential Job Functions:Routinely analyzes trading activity in area of primary responsibility for indications of potential violative activity… Ivy Exec

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Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinat

Financial Industry Regulatory Authority Inc 100+ Reviews New York, NY

The Compliance Examiner conducts routine review and investigations of unusual market activity for evidence of violations of relevant rules and… CareerBuilder

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Compliance Examiner

National Futures Association New York, NY

A Compliance Examiner's main responsibility is to support NFA's regulatory programs through exams, investigations and financial surveillance of NFA… National Futures Association

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