Sec Regulatory Compliance Jobs

... Vermont is looking for a Compliance & Financial and Regulatory Reporting Specialist! The role is ... Premium Tax Reports and various Regulatory filings for our clients in ... Within..

... Brokers is looking to hire Compliance Manager at the Chicago Office ... within the Financial Intelligence Unit -Regulatory Inquiries team . This is ... motivated and exceptional performers. The..

Communicate regulatory changes and trends with the ... and procedures to determine ongoing compliance Perform trading and best execution ... and enhancement of a full-scale compliance program Ability to work..

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Knowledge Management - Compliance Compensation Base up to $70,000 plus benefits and paid OT Benefits: Medical and Dental Coverage Prescription Plan Prescription Mail-in Program Vision Care Flexible Spending Account Program Dependent ..

Knowledge Management - Compliance Compensation Base up to $70,000 plus benefits and paid OT Benefits: Medical and Dental Coverage Prescription Plan Prescription Mail-in Program Vision Care Flexible Spending Account Program Dependent ..

... Direct Business Channel through thoughtful compliance guidance and oversight of both ... analysis and support to ensure compliance with FINRA rules, SEC regulations, various state regulations, and ... response..

Communicate regulatory changes and trends with the ... and procedures to determine ongoing compliance Perform trading and best execution ... and enhancement of a full-scale compliance program Ability to work..

... Health (the Alliance) as the Compliance Director , leading our Compliance department. This position is available ... FOR Reporting to the Chief Compliance Officer, you will: Provide strategic .....

Aon is looking for a Compliance Analyst, Aon Investments USA. This ... the Securities and Exchange Commission (“SEC”). Aon’s investment consulting business is ... succeed. Your impact as a Compliance..

... and commodities, and experience with compliance, internal controls and risk management. ... and risk management. Responsibilities The Compliance Officer’s primary focus will be ... focus will be to: Provide..

... and renewals. Track legislative and regulatory changes, and work with the ... work with the legal and compliance teams on advising them of ... them of applicable legislative and..

Description The Compliance (UM) Coordinator 2 conducts and summarizes compliance audits. The Compliance (UM) Coordinator 2 performs varied activities and moderately complex administrative/operational/customer support assignments. Performs computations. Typically works on semi-routine ..

... and commodities, and experience with compliance, internal controls and risk management. ... risk management. Responsibilities The Senior Compliance Analyst’s primary focus will be ... focus will be to: Support..

Communicate regulatory changes and trends with the ... and procedures to determine ongoing compliance Perform trading and best execution ... and enhancement of a full-scale compliance program Ability to work..

... seeks a motivated and talented compliance officer familiar with electronic trading ... will be the firm’s lead compliance officer in key areas, including ... each of these topics, the..

... and commodities, and experience with compliance, internal controls and risk management. ... and risk management. Responsibilities The Compliance Officer’s primary focus will be ... focus will be to: Provide..

... looking to hire a Senior Regulatory Analyst in its Chicago, Illinois ... Analyst will report to a Compliance Manager and will assist with ... regulations. Day-to-day responsibilities include: Preparing..

... Kindred at Home Licensing and Regulatory Compliance Specialist in Overland Park Kansas ... Kansas As a Licensing and Regulatory Compliance Specialist , you will: Prepare ... of various state..

... motivated, IT audit, risk or compliance professional with experience working in ... regulated environment. Responsibilities The Senior Compliance Analyst’s primary focus will be ... focus will be to: Support..

Communicate regulatory changes and trends with the ... and procedures to determine ongoing compliance Perform trading and best execution ... and enhancement of a full-scale compliance program Ability to work..

Job Number: 493159 Work type: Full Time Permanent Location: Melbourne (CBD) Categories: Leadership & Management As Guild Groups nears our seventh decade, we continue to innovate and challenge the way we ..

Administrative Operations Manager, Law and Compliance Are you an administrative professional ... administrative support to Law & Compliance (L&C) operations in addition to ... among the AOM, Law & Compliance..