Regulations Compliance Associate Jobs

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We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Analyst, Options Regulation (Contractor) 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 Regulatory Analyst conducts routine review and investigations of unusual market ...

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 investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to pro...

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Trading Regulatory Liaison opening in New York, NY. 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 Trading Regulatory Liaison (“TRL”) position within TFCE is an individual serving the main poi...

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Financial Operations Examiner opening in New York, NY. 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 Compliance Examiner conducts routine review and investigations of unusual market activity ...

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: Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-com...

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...

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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...

Job ID: 81297 Title: Accreditation-Regulation Consultant & Patient Safety Officer City, State: Kalamazoo, MI Location: Borgess Department: Administration 009 Additional Job Details: FT Days Summary: The Accreditation-Regulation Consultant & Patient Safety Officer leads and directs compliance activities and resources for Borgess. This leadership role reports into the Chief Medical Officer an...

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Financial Operations 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: Conduct on-site examinations and assess member organization's financial and operational condition and compliance with S...

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Alternative Net Capital (ANC) 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: The Examiner conducts assignments on routine and special Alternative Net Capital (ANC) examinations to assess ...

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Regulatory Analyst opening in Chicago, IL. To be considered for this position, please submit your resume through our careers site. No phone calls, please. Job Summary: The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of relevant...

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Analyst, Options Regulation (Contractor) 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 Regulatory Analyst conducts routine review and investigations of unusual market...

Analyst (Contractor) Options Regulation - Market Regulation - Chicago, IL(Job Number: 004456) Description We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Analyst, Options Regulation (Contractor) 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,...