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Finra Compliance Analyst jobs

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  • Head of Investment Management Policies and Procedures Compliance

    Compliance Search Group - New York City, NY

    Prepare the Chief Compliance Officer’s written Compliance Program Reviews (quarterly and annually) as required ... Qualifications BA/BS required, JD Preferred.• 10 plus years compliance or other applicable experience...

    1 day ago from eFinancial Careers

  • Senior Compliance Analyst

    Pink OTC Markets - Washington, DC

    stock is traded over-the-counter (OTC). The Senior Compliance Analyst works under the supervision of the Director ... and compliance. Responsibilities: Research more complex compliance/regulatory requirements or compliance/control...

    23 days ago from The Washington Post

  • Senior Compliance Risk Management Analyst

    Remx Financial Staffing - Dallas, TX

    wealth management firms in Dallas, Texas! The Senior Compliance Risk Management Analyst is responsible for ... execution of departmental procedures Securities Operations, Compliance, and other departments as necessary Communicate...

    11 days ago from Money Jobs

  • Senior Compliance Analyst- Marketing Compliance

    Wall Street Personnel - Los Angeles, CA

    investors/clients; Maintaining the books and records of compliance approved marketing material; Interacting and ... sales and marketing literature and associated disclosures for compliance with the Advisers Act, FINRA rules and any...

    30+ days ago from Doostang

  • Compliance Associate

    Hatteras Funds - Raleigh, NC

    Work with the Chief Compliance Officer (CCO) and the Compliance Team to support Firm-wide compliance programs and ... regulatory agencies or financial institutions in compliance with SEC, FINRA, AML and related regulations...

    2 days ago from Hatteras Funds

  • Compliance, GSAM Marketing Team Compliance, Analyst-VP

    Full Service Global Investment Bank - New York City, NY

    broker/dealer or other financial services organization, or FINRA. Prior advertising compliance experience preferred. ... Familiarity with SEC and FINRA rules Must have strong interpersonal, communication, written and presentation skills as w...

    2 days ago from IvyExec

  • Senior Compliance Analyst- Marketing Compliance (Financial Services Recruitment And Staffing Firm)

    Wall Street Personnel - Los Angeles, CA

    Analyst will ensure all marketing materials are in compliance with internal policies and regulatory ... disclosures for compliance with the Advisers Act, FINRA rules and any non-Uwallstreetpersonnel requirements as...

    30+ days ago from Doostang

  • Compliance Analyst - Marketing Materials

    Investment Bank - Jacksonville, FL

    Investment Bank has an excellent opportunity for a Compliance Analyst - Marketing Materials based in ... Collaboration with internal partners / Legal / Compliance / provide guidance for review of internal forms, Client agreem...

    20 days ago from ZipRecruiter

  • Junior Compliance Analyst

    Ibg - Chicago, IL

    has an immediate need for an Entry Level Junior Compliance Analyst in our Chicago office. In the absence of direct ... with an SRO, Broker Dealer or FCM, Experience within a Compliance Department, internal audit, legal or a control...

    14 days ago from ZipRecruiter

  • Compliance Analyst

    E*TRADE Financial - Jersey City, NJ

    challenged to develop your career. As part of the Brokerage Compliance Department, the Compliance Analyst in Testing & ... The Compliance Analyst also will provide additional compliance support, such as addressing and resolving issues...

    30+ days ago from Professional Diversity Network

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