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49  Associate Junior Compliance Officer Jobs in Wayne, NJ

Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinat

FINRA New York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Examiner opening inNew York, NY. To be… partner.efinancialcareers.com

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Compliance Examiner

Drum Associates, Inc. New York, NY

• Conduct internal compliance reviews of various front office lines of business, including futures, derivatives and securities • Prepare reports… CareerBuilder

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Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinat – new

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 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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Junior Commercial Loan Officer

Valley National Bank 48 Reviews Totowa, NJ

include but are not limited to: * Function as primary contact with customers in assigned portfolio and serves as back-up contact with customers in… Beyond.com

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Compliance Review Examiner - VP - Finance and Investment Industry Opportunity – new

Top Investment Bank New York, NY

Include: Conduct compliance reviews of business units in order to assess and review compliance with legal, regulatory and internal firm policy… VelvetJobs.com

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Compliance Examiner - Finance and Investment Industry Opportunity – new

International Bank New York, NY

Conduct internal compliance reviews of various front office lines of business, including futures, derivatives and securities Prepare reports for… VelvetJobs.com

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Compliance Review Examiner - VP

Drum Associates, Inc. 2 Reviews New York, NY

Include: • Conduct compliance reviews of business units in order to assess and review compliance with legal, regulatory and internal firm policy… CareerBuilder

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VP Compliance Examiner

Legal Professional Services New York, NY

Ensure that all findings and recommendations are entered into the Reporting & Issue Tracking Application (Aurora) database for tracking purposes and… Ivy Exec

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Financial Operations Examiner Market Regulation, Trading & Financial Compliance – new

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 Director, 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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Associate / Compliance Officer: Private Equity - Finance and Investment Industry

Leading Boutique Private Equity Firm New York, NY

Advise Portfolio Managers and Traders on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulation… VelvetJobs.com

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Supervisory Securities Compliance Examiner

U.S. Securities and Exchange Commission 54 Reviews New York, NY

The Office of Compliance Inspections and Examinations ("OCIE") protects investors through administering the SEC's nationwide examination and… Glassdoor

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Compliance, GS Bank Lending Compliance Officer, Associate/Vice-President - Finan

Goldman Sachs 100+ Reviews New York, NY

The GS Bank Compliance team provides compliance coverage and support to the Bank and establishes the framework for identifying, assessing, controll… VelvetJobs.com

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Compliance Examiner - Member Regulation, Membership Application Program - New Yo

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

MAP Examiners review or investigate, in the context of new and continuing membership applications, risk areas of broker-dealers and allegations of… Beyond.com

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Compliance Manager Regulatory Examinations - Securities

JPMorgan Chase 100+ Reviews New York, NY

**JPMorgan Chase & Co.** (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries… Beyond.com

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Compliance, GS Bank Lending Compliance Officer, Associate/Vice-President

Goldman Sachs 100+ Reviews New York, NY

Glassdoor

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