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Securities Compliance Examiner Jobs

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  • Missouri Secretary of state – Jefferson City, MO
    EASY APPLY
    15 days ago 15d
    Responsibilities: A Securities Compliance Examiner conducts compliance examinations and inspections authorized by the Missouri Securities Act… Definition: A Securities Compliance Examiner conducts examinations and inspections of broker-dealers and investment advisers…
  • Foresters Equity Services, Inc. – Edison, NJ
    3 days ago 3d
    by employees. Additionally, performs daily surveillance of securities transactions, handles registration and communication red flags… rules and regulations. * Perform daily surveillance of securities transactions received from sales offices. * Review trade…
  • 3.3
    D.A. Davidson Companies – Denver, CO
    25 days ago 25d
    and regulations related to securities compliance Successful completion of FINRA General Securities Representative Exam (Series… Series 24), and the Municipal Securities Principal Exam (Series 53), Uniform Combined Securities State Law Exam (Series 66) within…
  • 3.0
    Foresters Financial – Edison, NJ
    5 days ago 5d
    regulatory Travel to sales offices and conduct annual and special compliance inspections by reviewing the books and records, interviewing… internal and external requests regarding to how to follow compliance policy and procedures. Provide comprehensive written and…
  • 3.5
    Cadaret Grant – Syracuse, NY
    8 days ago 8d
    looking for an experienced candidate for a compliance examiner position in our Compliance department. This position is responsible… offices and providing regulatory guidance to ensure industry compliance standards are being met. Travel is required with all expenses…
  • 3.3
    D.A. Davidson Companies – Great Falls, MT
    25 days ago 25d
    to conduct onsite compliance examinations of Individual Investor Group offices. Position acts as compliance contact for the assigned… communications Acts as compliance contact for designated branch offices Schedules assigned examinations and manages examination-related travel…
  • 3.3
    McGraw Hill Financial – Centennial, CO
    Est. Salary $48k-$88k
    11 days ago 11d
    Position Description COMPLIANCE OFFICER – COMPLIANCE EXAMINATIONS - Centennial The Role: The Compliance Officer conducts periodic… position is part of a team of nine Compliance Officers responsible for providing compliance examinations and reviews globally with members…
  • 3.1
    S&P Global – Centennial, CO
    Est. Salary $52k-$96k
    10 days ago 10d
    Position Description COMPLIANCE OFFICER – COMPLIANCE EXAMINATIONS - Centennial The Role: The Compliance Officer conducts periodic… position is part of a team of nine Compliance Officers responsible for providing compliance examinations and reviews globally with members…
  • 3.1
    S&P Global Ratings – Centennial, CO
    Est. Salary $52k-$95k
    12 days ago 12d
    Position Description COMPLIANCE OFFICER – COMPLIANCE EXAMINATIONS - Centennial The Role: The Compliance Officer conducts periodic… position is part of a team of nine Compliance Officers responsible for providing compliance examinations and reviews globally with members…
  • Huffman Associates, LLC – Orlando, FL
    EASY APPLY
    4 days ago 4d
    completion of assigned compliance reviews. Aids with internal and external compliance regulatory reviews and examinations and ensure the… related to compliance function. • Assists with all aspects related to compliance regulatory reviews, interact with examiners, resolve…
  • 3.3
    D.A. Davidson Companies – Great Falls, MT
    25 days ago 25d
    conduct onsite compliance examinations of Individual Investor Group branch offices. Position acts as ongoing compliance contact for… Duties Acts as compliance contact for designated branch offices Schedules assigned examinations and manages examination-related travel…
  • 4.8
    Base2 Solutions – Seattle, WA
    Est. Salary $90k-$145k
    2 days ago 2d
    you will be responsible for: Providing security and architecture services, examine the customer need and provide tailored vendor-neutral… the domain such as security, virtualization and Operating System technologies required Knowledge of security tooling and concepts…
  • 3.7
    Raymond James Financial – Saint Petersburg, FL
    30+ days ago 30d+
    scheduling of assigned examinations. • Performs collection and validation of data in compliance with examination program requirements… organizational examination workflows. • Manages examination related travel expenses. • Trains staff on compliance processes and…
  • 3.4
    Federal Reserve Bank of Chicago – Des Moines, IA
    Est. Salary $45k-$64k
    3 days ago 3d
    risk management systems, and compliance with applicable laws and regulations during the examination process and/or through continuous… Commissioned Bank Examiner. We will also consider experienced Bank Examiners preferably with recognized Examiners Commissions…
  • 2.9
    Massachusetts Department of Children and Families – Lakeville, MN
    Est. Salary $33k-$57k
    Today 6hr
    Act as an examiner-in-charge of financial institution examinations by planning, organizing, and supervising examinations of less-… opportunities within the Division. The Risk Management Examiner I examines the records of depository financial institutions (banks…
  • 2.9
    STATE OF FLORIDA – Orlando, FL
    1 days ago 16hr
    Performs preliminary inquiries and compliance examinations and investigations of securities broker/dealers, agents, issuers, issuer… POSITION TITLE: FINANCIAL EXAMINER/ANALYST II DIVISION: OFFICE OF FINANCIAL REGULATION BUREAU: SECURITIES - ENFORCEMENT CITY: ORLANDO…
  • 4.7
    Decisive Analytics – Colorado Springs, CO
    Est. Salary $69k-$109k
    12 days ago 12d
    Candidate will examine results of vulnerability analysis, STIG, SRG, IAVM and cybersecurity control compliance in order to perform…
  • 4.0
    Executive Office of Labor and Workforce Development – Boston, MA
    Est. Salary $41k-$70k
    Today 4hr
    Act as an examiner-in-charge of financial institution examinations by planning, organizing, and supervising examinations of less-… opportunities within the Division. The Risk Management Examiner I examines the records of depository financial institutions (banks…
  • 3.5
    Fannie Mae – Reston, VA
    Est. Salary $53k-$94k
    12 days ago 12d
    enhance security. May lead or execute simulated attacks or security violations to assess the organization's data security measures… party certification of security procedures and use of cyber security protections. Ensure that system's security controls, policies…
  • 4.7
    Decisive Analytics – Huntsville, AL
    Est. Salary $67k-$105k
    4 days ago 4d
    Candidate will examine results of vulnerability analysis, STIG, SRG, IAVM and cybersecurity control compliance in order to perform…
  • 3.6
    Fidessa – New York, NY
    27 days ago 27d
    providing information security awareness materials / sessions / regional training providing compliance governance to monitor… monitor and track business units compliance to Fidessa's internal security policies, customer and regional regulatory requirements…
  • 3.2
    Edelman Financial Services – Fairfax, VA
    Est. Salary $121k-$213k
    3 days ago 3d
    corporate governance, compliance and administrative perspective. Comprehensive knowledge of regulatory examination procedures used… and maintain the Company’s compliance program to prevent, detect, and correct violations of securities laws and regulatory guidance…
  • 3.5
    State of Washington – Tumwater, WA
    1 days ago 16hr
    requirements for securities, franchise and business opportunity offerings, and licensing and examination of securities broker dealers… and the general public. The Securities Division is recruiting for a Financial Legal Examiner position in the Registration &…
  • 4.8
    SalesLoft – Atlanta, GA
    Est. Salary $73k-$128k
    16 days ago 16d
    Assess information security risks and monitors compliance with security standards and appropriate policies. Examine impacts of new… information security systems. Establish annual and long-range security and compliance goals. Define security strategies,…
  • 3.4
    Nuance Communications – Burlington, MA
    Est. Salary $63k-$103k
    1 days ago 13hr
    Governance, Risk & Compliance and Security Audit practices • Strong understanding of network security, systems security, and application… experienced Information Security professional to lead the information security governance, risk and compliance (GRC) of its Mobility…
  • 3.7
    Raymond James – Tampa, FL
    4 days ago 4d
    * Scheduling of assigned examinations. * Performs data collection in compliance with examination program requirements. *… organizational examination workflows. * Manages examination related travel expenses. * Assist with training staff on compliance processes…
  • 2.8
    Maricopa County, Arizona – Phoenix, AZ
    18 days ago 18d
    other construction plans for compliance with building, electrical, mechanical, plumbing, security, zoning codes and ordinances,… schematic drawings, specifications, and layouts to evaluate compliance with prescribed regulations and provides engineering analysis…
  • 3.6
    Colorado Department of Transportation – Denver, CO
    Today 11hr
    incumbent in this position will serve as a lead worker for Tax Examiner I's, student assistants, and other department personnel for… refunds, transfers, letters and returns. Position will train Tax Examiners on projects, procedures, and protests; provide technical,…
  • 3.6
    Morgan Stanley – Baltimore, MD
    25 days ago 25d
    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…
  • 3.3
    Michigan State University Federal Credit Union – East Lansing, MI
    Est. Salary $49k-$79k
    20 days ago 20d
    audits and examinations; assist in drafting responses to audits. Provide support for management and staff using security, reporting… external audit and examining teams, IT management, consultants, and other stakeholders to ensure compliance deliverables are met…
  • 3.5
    Fannie Mae – Reston, VA
    Est. Salary $108k-$161k
    26 days ago 26d
    participating in exercise. Examine and/or test new methodologies or tools that could be adopted to enhance security of platforms, infrastructure… · Experience with common network security practices as they relate to SOX and other compliance requirements · Active Directory…
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