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Finra Compliance Analyst jobs

Viewing 1 - 10 of 1,043 jobs

  • Senior Analyst Security Awareness (102925)

    TD Ameritrade - Omaha, NE

    Analyst will be focused on the governance, risk and compliance (GRC) aspects of Vulnerability and Threat ... member FINRA/SIPC/NFA is a subsidiary of TD Ameritrade Holding Corporation (NASDAQ: AMTD)...

    20 days ago from TD Ameritrade

  • Sr Compliance Analyst

    MetLife - Charlotte, NC

    Responsibilities: 1. Conduct ongoing Compliance oversight relating to non-cash compensation for ... Preferred Business Category Americas Region Job Category Compliance Equal Employment Opportunity MetLife is proud...

    30+ days ago from MetLife

  • Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinations (TFCE) - New York, NY(Job Number:3276)

    Finra - New York City, NY

    We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Examiner ... and regulations enforced by FINRA; performs preventive compliance functions. Presents investigative findings...

    16 days ago from eFinancial Careers

  • Compliance Analyst - Investment Management

    Compliance Search Group - Chicago, IL

    Compliance Analyst- Investment Management An investment management firm specializing in opportunistic investment ... Analyst who will assist the General Counsel and Chief Compliance Officer in providing legal and regulatory support...

    4 days ago from TheLadders.com

  • Compliance Analyst (Financial Services Recruitment And Staffing Firm)

    Wall Street Personnel - Los Angeles, CA

    Preferred Qualifications Fixed income investment advisory compliance experience Self-starter and able to function ... accounts Other compliance duties as assigned Knowledge of FINRA and ERISA roles a strong plus Minimum Requirements...

    30+ days ago from Doostang

  • Senior Compliance Analyst Electronic Communications Surveillance

    Citi - Buffalo, NY

    for a variety of businesses within the firm. * The Analyst reviews employee communications including email, ... Degree required, with 2 years of work experience in compliance, banking or finance related role. * The candidate...

    10 days ago from Citi

  • Compliance Analyst

    Regulatory Services Company - Finance Industry - Chicago, IL

    in Finance/Business/Computer Science or related field Job Description The Compliance Analyst position is responsible for ... analysis. Customer Support Compliance Analysts will handle inquiries related to SEC/FINRA 605/606 reporting...

    20 hours ago from VelvetJobs

  • Senior Compliance Analyst ICG LATAM

    Citi - Fort Lauderdale, FL

    * Coordinating certain compliance initiatives at various functions / business lines, also leading in some regional and g ... reports and escalation processes. * Oversight of ICG Compliance risks and support ICG businesses, including...

    5 days ago from Citi

  • Sr Compliance Analyst - Fixed Income

    Stifel - Finance Industry - Baltimore, MD

    summary: Under General Supervision enforces and ensures compliance with laws and regulations governing fixed income ... • Research and respond to SEC, FINRA and MSRB regulatory inquiries. • Assist the Firm’s Examination Group...

    20 hours ago from VelvetJobs

  • Senior Compliance Analyst

    Citi - Buffalo, NY

    for a variety of businesses within the firm. * The Analyst reviews employee communications including email, ... Degree required, with 2 years of work experience in compliance, banking or finance related role. * The candidate...

    28 days ago from Citi

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