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Regulations Compliance Associate Jobs

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Candidate will work as part of the GS Bank Compliance team with the Regulation W compliance officer for the firm. Regulation W is designed to protect against a Bank suffering losses in transactions with affiliates. As such, the candidate will be required to work closely with multiple firm departments, including IBD, Securities Division, Operations, Technology, Internal Audit, Compliance and Legal....

Candidate will work as part of the GS Bank Compliance team with the Regulation W compliance officer for the firm. Regulation W is designed to protect against a Bank suffering losses in transactions with affiliates. As such, the candidate will be required to work closely with multiple firm departments, including IBD, Securities Division, Operations, Technology, Internal Audit, Compliance and Legal....

Compliance, BHC/GS Bank Compliance, Regulation W, Associate, New York Job id36699LocationNew YorkFull/Part TimeFull-time Job Summary Responsibilities Candidate will work as part of the GS Bank Compliance team with the Regulation W compliance officer for the firm. Regulation W is designed to protect against a Bank suffering losses in transactions with affiliates. As such, the candidate will be r...

Compliance, BHC/GS Bank Compliance, Regulation W, Associate, New York Job id36700LocationNew YorkFull/Part TimeFull-time Job Summary Responsibilities Candidate will work as part of the GS Bank Compliance team with the Regulation W compliance officer for the firm. Regulation W is designed to protect against a Bank suffering losses in transactions with affiliates. As such, the candidate will be r...

Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinations (TFCE) Chicago, IL(Job Number: 004315) Description We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Examiner opening in Chicago, IL. To be considered for this position, please submit your resume through our career site atwww.finra.org/careers- no phone...

Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinations (TFCE) Chicago, IL(Job Number: 004499) Description We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Examiner opening in Chicago, IL. To be considered for this position, please submit your resume through our career site atwww.finra.org/careers- no phone...

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Examiner opening in Chicago, IL. To be considered for this position, please submit your resume through our career site at www.finra.org/careers - no phone calls, please. Job Summary: The Compiance Examier conducts routine review and investigations of unusual market activity for evidence ...

Compliance Examiner - Member Regulation, Membership Application Program - New York, NY(Job Number: 003909) Description We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in Membership Application Program (MAP) of the Member Regulation Department in New York, NY. To be considered for this position, please submit your resu...

Compliance Examiner - Member Regulation, Membership Application Program - New York, NY(Job Number: 004549) Description We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in Membership Application Program (MAP) of the Member Regulation Department in New York, NY. To be considered for this position, please submit your resu...

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in Membership Application Program (MAP) of the Member Regulation Department in New York, NY. To be considered for this position, please submit your resume through our careers site. No phone calls please. Job Summary: MAP Examiners review or investigate, in the context of...

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in Membership Application Program (MAP) of the Member Regulation Department in New York, NY. To be considered for this position, please submit your resume through our careers site. No phone calls please. Job Summary: MAP Examiners review or investigate, in the context of...

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in Membership Application Program (MAP) of the Member Regulation Department in New York, NY. To be considered for this position, please submit your resume through our careers site. No phone calls please. Job Summary: MAP Examiners review or investigate, in the context of...

Compliance Examiner - Member Regulation, Sales Practice - Boston, MA(Job Number: 004158) Description We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in Boston, MA. To be considered for this position, please submit your resume through our careers site-no phone calls, please. Job Summary: Examiners review or investiga...

Compliance Examiner - Member Regulation, Sales Practice -Jericho, NY(Job Number: 004471) Description We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in Jericho, NY. To be considered for this position, please submit your resume through our careers site-no phone calls, please. Job Summary: Examiners review or investig...

Compliance Examiner - Member Regulation, Sales Practice - New York, NY(Job Number: 004506) Description We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in New York, NY. To be considered for this position, please submit your resume through our careers site-no phone calls, please. Job Summary: Examiners review or inves...

Compliance Examiner - Member Regulation, Sales Practice - San Francisco, CA(Job Number: 004464) Description We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Examiner opening in San Francisco, CA. To be considered for this position, please submit your resume through our careers site at www.FINRA.org. No phone calls, please. Job Summary...

Compliance Examiner - Member Regulation, Sales Practice - Boston, MA(Job Number: 004551) Description We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in Boston, MA. To be considered for this position, please submit your resume through our careers site-no phone calls, please. Job Summary: Examiners review or investiga...

Compliance Examiner - Member Regulation, Sales Practice - Los Angeles, CA(Job Number: 004544) Description We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Examiner opening in Los Angeles, CA. To be considered for this position, please submit your resume through our careers site at www.FINRA.org. No phone calls, please. Job Summary: E...

Compliance Examiner - Member Regulation, Sales Practice - Philadelphia, PA(Job Number: 004550) Description We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in Philadelphia, PA. To be considered for this position, please submit your resume through our careers site-no phone calls, please. Job Summary: Examiners review ...

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in Boston, MA . To be considered for this position, please submit your resume through our careers site-no phone calls, please. Job Summary: Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to prot...