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 Compliance 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 Compiance Examiner conducts routine review and investigations of unusual market activity for evidenc...

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 ...

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Examination Manager 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 Examination Manager position’s primary responsibility is to supervise and review the examinations of...

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

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 prote...

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...

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Financial Operations Examiner opening in Chicago, IL. 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 SE...

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Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinations (TFCE) - New York, NY(Job Number: 004389) 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 career site atwww.finra.org/careers- no p...

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 career site at www.finra.org/careers - no phone calls, please. Job Summary: The Compiance Examiner conducts routine review and investigations of unusual market activity for eviden...

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...

We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Regulatory Coordinator 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: Regulatory Coordinators monitor and evaluate the financ...

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Examination Manager 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 Examination Manager is responsible for the day-to-day supervision of the examinations of our largest and most complex members,...

Analyst (Contractor) Options Regulation - Market Regulation - Chicago, IL(Job Number: 004034) 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 atwww.finra.org/careers- no phone calls, p...

Examination Manager - Market Regulation, Trading & Financial Compliance Examinations (TFCE) Financial Operations - New York, NY(Job Number: 004387) Description We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Examination Manager opening in New York, NY. To be considered for this position, please submit your resume through our career site at www.f...

Financial Operations Examiner – Market Regulation, Trading & Financial Compliance Examinations - New York, NY(Job Number: 004388) Description 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 atwww.finra.org/...