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Compliance Analyst Jobs

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GIU Compliance Metrics Analyst- Senior Compliance Analyst-15078882 Description The GIU Data Reporting & Metrics Analyst position is responsible for the support and execution of all technology and process related initiatives key to the success of the GIU. Candidate must possess a strong ability to interpret functional and non-functional requirements, develop plans and drive execution to ensure su...

Compliance Analyst or Int Compliance Analyst-150004Q6 Description and Qualifications Company Description: The Transamerica companies offer a wide array of innovative financial services and products with a common purpose: to help individuals, families, and businesses build, protect and preserve their hard-earned assets. With more than a century of experience, we have built a strong reputation on...

Compliance Reporting Analyst or Intermediate Compliance Reporting Analyst (AAM)-150001F6 Description and Qualifications Company and DivisionalDescription: This position will be with AEGON Asset Management, the organization which oversees asset management for many of Transamerica's insurance and operating companies as well as third party clients. The global AEGON Asset Management organization ha...

Compliance, Global Compliance Employee Services, DTS, Senior Analyst/Associate, Salt Lake City Job id38170LocationSalt Lake CityFull/Part TimeFull-time Job Summary Responsibilities Global Compliance is an integral part of the firm and serves internal clients in all aspects of the firm?s business. Global Compliance?s responsibilities include advising the firm?s professionals on regulatory and re...

Global Compliance is an integral part of the firm and serves internal clients in all aspects of the firm?s business. Global Compliance?s responsibilities include advising the firm?s professionals on regulatory and reputational issues concerning the firm?s businesses and market practices and proactively solving problems and issues within a dynamic regulatory environment. Global Compliance Employee...

Global Compliance is an integral part of the firm and serves internal clients in all aspects of the firm?s business. Generally, Global Compliance?s responsibilities include advising the firm?s professionals on regulatory and reputational issues concerning the firm?s businesses and market practices and proactively solving problems and issues within a dynamic regulatory environment. Global Complian...

The role of the Divisional Compliance Officer is to articulate and maintain the standards of conduct required of the Firm?s businesses as well as the laws, regulations and policies governing these businesses in order to avoid economic, regulatory and legal liability and risk to reputation. In particular, this Divisional Compliance Officer provides coverage support to Equity Sales, Derivative Sales...

Compliance, Securities Division Compliance Officer, Analyst/Associate, New York Job id38144LocationNew YorkFull/Part TimeFull-time Job Summary Responsibilities The role of the Divisional Compliance Officer is to articulate and maintain the standards of conduct required of the Firm?s businesses as well as the laws, regulations and policies governing these businesses in order to avoid economic, r...

Compliance, Global Compliance Employee Services, Analyst/Associate, Salt Lake City Job id38145LocationSalt Lake CityFull/Part TimeFull-time Job Summary Responsibilities Global Compliance is an integral part of the firm and serves internal clients in all aspects of the firm?s business. Generally, Global Compliance?s responsibilities include advising the firm?s professionals on regulatory and rep...

At Arrow Electronics, our people are the momentum behind all that we do, and together we will accelerate growth in our core businesses, high-growth product sets and technology lifecycle services. We are as committed to the individual success of our people as we are to that of the company. We encourage all employees to take an active role in managing their career, not only to support our global str...

(adsbygoogle = window.adsbygoogle []).push({}); * Department Overview * Barclays moves, lends, invests and protects money for customers and clients worldwide. With over 300 years of history and expertise in banking, we operate in over 50 countries and employ over 140,000 people. We provide large corporate, govement and institutional clients with a full spectrum of solutions to their strategi...

Compliance, PWM Compliance, Analyst, New York Goldman Sachs New York, NY, United States Job Summary & ResponsibilitiesPWM Compliance is a unit within Global Compliance that services the Private Wealth Management area within the Investment Management Division. PWM Compliance is generally responsible for surveillance and oversight of the PWM business. Responsibilities include assisting in adherin...

Raytheon's Integrated Defense Systems (IDS) is seeking a Trade Compliance Specialist to serve as a member of the Office of General Counsel (OGC), reporting to IDS Trade Compliance Counsel, to support OGC and IDS business unit operations relating to Export-Import compliance. Position involves full range of Export-Import compliance responsibilities, but will primarily involve assisting the IDS Trad...

Auto req ID 3895BR Posting Title Compliance Analyst, Advisory Compliance Location Charlotte, NC Job Description LPL Financial is the nation’s largest independent broker/dealer and fourth largest broker/dealer with more than 14,000 independent financial advisors in more than 4,000 branch offices nationwide. LPL Financial has been ranked the number one broker/dealer in its class consistently over...

LPL Financial is the nation’s largest independent broker/dealer and fourth largest broker/dealer with more than 14,000 independent financial advisors in more than 4,000 branch offices nationwide. LPL Financial has been ranked the number one broker/dealer in its class consistently over the past 10 years. Financially strong and growing, its corporate offices are in Boston, San Diego, and Charlotte. ...

The role of the Divisional Compliance Officer is to articulate, develop and maintain the standards of conduct required of the Firm?s businesses as well as the laws, regulations and policies governing the Division in order to assist the Firm in avoiding economic, regulatory and legal liability and risk to reputation. The role requires close coordination with various Compliance functions, as well as...

Compliance, Merchant Banking Division, Divisional Compliance Officer, Analyst/Associate, New York Job id37663LocationNew YorkFull/Part TimeFull-time Job Summary Responsibilities The role of the Divisional Compliance Officer is to articulate, develop and maintain the standards of conduct required of the Firm?s businesses as well as the laws, regulations and policies governing the Division in ord...

Compliance, Private Wealth Management Compliance, Analyst, Salt Lake City Job id37347LocationSalt Lake CityFull/Part TimeFull-time Job Summary Responsibilities The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial inst...

The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hon...

Description Safeguards the assets of UNC Health Care by performing audits to assure compliance with established policies and regulatory/legal requirements. Supports the Audit and Compliance Services department by ensuring the accuracy and reliability of data and by promoting operating efficiencies. Protects the financial operation of the Health System by identifying and assessing risks and exposu...