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Securities Compliance Examiner Jobs

832 Jobs

  • 4.0
    The Execu|Search Group – Bridgewater, NJ
    NEW
    seeking a new ComplianceExaminer for a promising opportunity with their growing staff. In this role, the ComplianceExaminer will be… Description Financial Broker Job Description The ComplianceExaminer will be responsible for: Transaction analysis…
  • 3.8
    San Manuel Band of Mission Indians – Highland, CA
    8 days ago 8d
    and game rules in order to resolve patron disputes. Review, examine, research and interpret technical standards, product manuals… Under the direction of the Technical Supervisor, the Compliance Technician I will be responsible for regulating all gaming devices…
  • 3.6
    Computer Services – Paducah, KY
    $43k-$66k(Glassdoor est.)
    8 days ago 8d
    IT compliance System and Network Security Certifications: Preferably Security Essentials GSEC, Certified Windows Security Administrator… skills and experience drafting IT compliance documentation for release to internal security teams, auditors or government regulators…
  • 4.1
    FDIC – Elizabethtown, KY
    8 days ago 8d
    here. Applicants must have obtained Commissioned (Compliance) Examiner status in the FDIC or another organization with comparable… fair-lending, civil rights and CRA. Knowledge of complianceexamination policies and practices, and broad knowledge of banking…
  • 3.7
    Booz Allen Hamilton Inc. – Norfolk, VA
    $66k-$104k(Glassdoor est.)
    HOT
    risk, examining system documentation, interviewing appropriate system and site personnel, testing system technical security configuration… management, operation, technical, and privacy security control implementation compliance for large, complex DoD information systems…
  • 3.4
    Federal Reserve Bank of San Francisco – Los Angeles, CA
    12 days ago 12d
    management systems, and compliance with applicable laws and regulations. Scope, organize, and control examination/inspection activities—supervise… opportunities exist in the Examination Group (EG) in the Division for Information Technology Examiners. Examiners help ensure the safety…
  • 4.2
    State of Rhode Island Office of the Governor – Cranston, RI
    NEW
    to their original sources. As instructed, to examine bonds and other securities to ascertain that they meet the requirements of… Accountant (CPA), Certified Financial Examiner (CFE), and Certified Insurance Examiner (CIE).…
  • 3.1
    LPL Financial – Atlanta, GA
    $48k-$75k(Glassdoor est.)
    7 days ago 7d
    each office to ensure adherence to compliance with all applicable regulations. The examiner will consult with branch managers,… expenses. Other Job Duties : Test computers for compliance with specific security standards and conduct investigative reviews of…
  • 3.8
    IEM – Baton Rouge, LA
    $38k-$62k(Glassdoor est.)
    20 days ago 20d
    this position is to examine and audit subcontractors, including associated invoice records, to assess compliance with terms and conditions… business. U.S. citizenship and ability to obtain required security clearances. JOB LOCATION Baton Rouge, Louisiana QUALIFICATIONS…
  • 3.1
    FHLBank San Francisco – San Francisco, CA
    $163k-$249k(Glassdoor est.)
    NEW
    Information Securitycompliance risk. Develop and execute risk based compliance review of enterprise compliance obligations on… implementation of the Bank’s Information SecurityCompliance Program, including compliance with applicable industry and regulatory…
  • 3.4
    PNC Financial Services Group – Dallas, TX
    NEW
    collateral values that secure loans and/or credit worthiness. 'Leads' the less critical / complex Field Examinations on existing Borrowers… other Field Examiners assigned to the Examination including both internal employees and/or outsource Field Examiner vendors, while…
  • 3.7
    Redwood Credit Union – Santa Rosa, CA
    $78k-$154k(Glassdoor est.)
    HOT
    other security threats, and compliance with applicable regulatory security requirements. Monitor and conduct physical examinations… examinations of property to ensure compliance with security policies and regulations. Supervise direct reports, performing activities…
  • 3.5
    TD Ameritrade – Chicago, IL
    $71k-$112k(Glassdoor est.)
    HOT
    with Legal and other areas of Compliance in responding to regulatory inquiries and examinations for TDA, with an emphasis on the… the management of regulatory inquiries, investigations and examinations by both federal and state regulators. Thoroughly research…
  • 4.8
    Washington State Employees Credit Union – Olympia, WA
    9 days ago 9d
    Gramm-Leach Bliley Act, NCUA Part 748 – Security Program and Bank Secrecy Act Compliance, and NCUA Part 749 – Records Preservation… - Preferred Member of the Association of Certified Fraud Examiners - Preferred Member Northwest Card Association (NWCA) - Preferred…
  • 3.3
    Office of the Comptroller of the Currency – Columbus, OH
    NEW
    support of examinations of large banks. Applies a practical knowledge of the banking industry such as the bank examination process… Department of the Treasury and Invest in Tomorrow. As an Examination Technician within Large Bank Supervision (LBS), you will…
  • 2.8
    Sedgwick – Denver, CO
    $57k-$89k(Glassdoor est.)
    NEW
    RESPONSIBILITIES Supervises multiple teams of examiners, multiple product line examiners and/or several (minimum seven) technical operations… PRIMARY PURPOSE: To supervise the operation of multiple teams of examiners and technical staff for workers compensation for clients;…
  • 3.8
    Raymond James Financial Inc. – Saint Petersburg, FL
    9 days ago 9d
    training and/or certification in securities and/or banking industry to ensure compliance with all securities and/or banking rules and… procedures of securities industry and/or banking compliance reviews. Rules and regulations of the Securities Exchange Commission…
  • 3.7
    Morgan Stanley – Baltimore, MD
    NEW
    with colleagues and branch examination management to determine whether a branch office is in compliance with regulatory and Firm… its retail Branch Examination team. The individual will independently and effectively execute branch examinations of retail branch…
  • 4.1
    FDIC – Kansas City, MO
    9 days ago 9d
    Knowledge of bank examination principles, policies and practices necessary to lead a complianceexamination staff. Knowledge… be found here. For CG-13: Applicants must have a ComplianceExaminer Commission in the FDIC or another organization with comparable…
  • 3.5
    Engility – Washington, DC
    $88k-$118k(Glassdoor est.)
    8 days ago 8d
    reporting and development of risk management approaches. Examines data from multiple disparate sources with the goal of providing… on mission requirements. Ability to dissect a problem and examine the interrelationships between data that may appear unrelated…
  • 4.8
    RedCloud Consulting – Bellevue, WA
    $119k-$189k(Glassdoor est.)
    5 days ago 5d
    SOC 2 or other federally regulated examinations Demonstrated expertise managing a compliance project and effectively managing… technically experienced Security Analyst to play a key part in supporting our client’s securitycompliance team. You will play…
  • 3.5
    Vectrus – Tacoma, WA
    $67k-$109k(Glassdoor est.)
    5 days ago 5d
    GIAC Certified Forensics Examiner, GIAC Certified Penetration Tester (GPEN), GIAC Certified Unix Security Administrator (GCUX), GIAC… EC-Council Certified Security Analyst (ESCA), EC-Council Certified Security Officer, EC-Council Certified Security Specialist, EC-Council…
  • 3.9
    City of New Braunfels – New Braunfels, TX
    NEW
    additional, position-specific duties. Examines plans and building permits for compliance with building, electrical, mechanical… License. International Code Council (ICC) Building Plans Examiner certification is required within one year of date of hire;…
  • 5.0
    F&M Trust – Chambersburg, PA
    EASY APPLY
    7 days ago 7d
    variety of duties essential to the function of the Compliance and Security Department and providing general support within the… Regional Market Managers', Operations meetings, Compliance Committee, Security Team, New Employee Orientation and Quarterly Managers…
  • 3.8
    Transunion – Chicago, IL
    6 days ago 6d
    years’ experience in compliance or other risk management discipline, such as audit, examination, fraud examination, quality control… a qualified compliance professional (e.g. Certified Compliance and Ethics Professional (CCEP), via the Compliance Certification…
  • 3.9
    City of New Braunfels, Texas – New Braunfels, TX
    1 days ago 21hr
    additional, position-specific duties. Examines plans and building permits for compliance with building, electrical, mechanical… Plans Examiner - Closes on 01/04/2018 Share this Job City of New Braunfels Posted December 19, 2017…
  • 3.4
    BNP Paribas – New York, NY
    1 days ago 1d
    necessary by senior Compliance and business management. Assist in compliance related matters during examinations by the Firm’s regulators… agency, and/or self-regulatory organization in a compliance, internal audit, or examiner related position. BA or BS Degree a must.…
  • 3.5
    City of Hollywood, Florida – Hollywood, FL
    1 days ago 15hr
    is inspection, administrative and supervisory work in securingcompliance with the city building regulations, codes and ordinances… following tests: written examination, performance examination, education and experience evaluation, oral examination and/or other job…
  • 3.5
    BOEING – Saint Louis, MO
    $52k-$82k(Glassdoor est.)
    6 days ago 6d
    Certifications such as CompTIA Security+, CISSP, etc. Recent experience with DISA Assured Compliance Assessment Solution in the last… Development Projects. Examine and evaluate Ports, Protocols and Processes of engineering computers. Examine Software Assurance Reports…
  • 4.6
    DEPARTMENT OF THE NAVY ENERGY, ENVIRONMENT AND CLIMATE CHANGE – San Diego, CA
    NEW
    control functions. ·Provide guidance for compliance with applicable security and safety regulations. Travel Required… Aircraft System Examination and reflects first line supervisory duties, as well as aircraft systems examiner duties. Selectee…
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