Regulations Compliance Associate Jobs

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1000+ Regulations Compliance Associate jobs found on Monster.

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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 career site at www.finra.org/careers - no phone calls, please. Job Summary: Conduct on-site examinations of registered broker-dealers and assess the financial and operatio...
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Examiner opening in Kansas City, MO. 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...
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 Compliance Examiner conducts equities based operational audits for compliance with relevant FINRA, S...
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Examiner opening in Denver, CO. 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-complian...
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...
Compliance Associate Cordium is the leading global provider of regulatory compliance consulting services and software to the asset management and securities industry. Today, Cordium has offices in London, New York, Boston, San Francisco, Malta and Hong Kong and employs more than 160 experienced professionals who support more than 800 investment businesses. Our clients range from start-ups to lar...
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 Compliance Examiner conducts routine review and investigations of unusual market activity for evide...
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 Compliance Examiner conducts equities based operational audits for compliance with relevant FINRA, ...
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...
U.S. Bancorp Cincinnati, OH
At U.S. Bank, we're passionate about helping customers and the communities where we live and work. The fifth-largest bank in the United States, we’re one of the country's most respected, innovative and successful financial institutions. U.S. Bank is an equal opportunity employer committed to creating a diverse workforce. We consider all qualified applicants without regard to race, religion, color,...
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Examiner opening in Denver, CO . 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-compli...
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 pr...
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-...
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in Boston, Massachusetts . 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 cond...
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 Kansas City, MO . 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-...
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Examiner opening in New Orleans, LA . To be considered for this opening, please submit your resume through our career site at www.finra.org/careers . No phone calls, please. Job Summary : Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or othe...
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 : Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non...
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 career site at www.finra.org/careers - no phone calls, please. Job Summary: Conduct on-site examinations of registered broker-dealers and assess the financial and operati...
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Examiner opening in Boca Raton, FL . To be considered for this opening, please submit your resume through our career site at www.finra.org/careers . No phone calls, please. Job Summary : Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other...

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Legal Career Tools

Regulations Compliance Associate

Salaries

$31,200.00 - $94,080.00
Typical Salary for Regulations Compliance Associate
(53 Respondents)
Source: Monster.com Careerbenchmarking Tool

Education / Training

Bachelor's
46.9%
Master's
18.4%
Some College Coursework Completed
12.2%
Associates
6.1%
Doctorate
6.1%
Professional
6.1%
High School
4.1%
(49 Respondents)
Source: Monster.com Careerbenchmarking Tool

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