Financial Services Compliance Jobs
Why is This a Great Opportunity? Consultative compliance officer position supporting the sales function of large division of Fortune 500 Financial Services firm. They want a compliance professional that has the technical compliance experience as well as the ability to serve as business partner. Strong benefit package, including 6% 401k match as well as 4+ weeks PTO. They also offer tremendous grow...
Company Confidential Hartford, CT, 06107
About Us: Our firm, located in West Hartford, provides financial and investment planning to affluent families, professionals, and business owners. Our team is cohesive, collegial, fast paced, and professional. Together, we provide our clients with an extraordinarily high level of service. Creating a "predictable environment" inside the firm is essential. About You: You've spent the last several ye...
Compliance Officer Consultant- Large Financial Firm Our client is a premier financial services institution that provides a wide range of services worldwide to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. Duties: Seeking a candidate who will help conduct reviews of marketing materials to ensure conformance...
Business Analyst- Compliance Division of Financial Firm Our client is a premier financial services institution that provides a wide range of services worldwide to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. Duties: Independently performs analysis and review of findings within multiple areas of expertise....
Our client in St. Louis, Missouri (MO) has an opportunity to work within a highly-motivated team as a Financial Compliance Analyst. This position will assist in managing the shared services P&L and balance sheet and cash flow planning process. Other responsibilities include preparation of annual budget, quarterly forecasts, month end closing process, and monthly financial statements. Responsibilit...
Position Description • TPA Medicare SCHIP/Conditional Payments • Contract Administration assistance for TPA agreements in conjunction with Fusion Vendor Management Unit & Legal. • Licensing of TPA company and adjusters • TPA to TPA file transfers working in conjunction with legal and File Transfer Management unit. • Various activities involves working in conjunction with and assisting AIG PC Legal...
An independent securities broker/dealer is looking for an Analyst with FINRA securities licensing and financial accounting experience in our Compliance Department. This position will be responsible for monitoring client account activity, reviewing trade transactions, handling certain authorization processes, conducting audit and control calculations, and providing analysis and regulatory reports i...
POSITION SUMMARY Grifols Inc., a global multi-billion dollar healthcare company, is seeking to hire a Compliance Supervisor over Credit Card and Vendor Master Administration within the North AmericaFinanceSharedServiceCenter (“FSSC”) organization based in Los Angeles, CA. The Supervisor will be primarily responsible for leading the Credit Card, T&E Reimbursement and Vendor Master Administration fu...
Description: Prudential Retirement is seeking an individual to lead the Plan Compliance Services team. This role will be responsible for managing the Retirement Plan Consultants, Pension Consultants, and Compliance, Testing & Reporting functions. The successful candidate will be responsible for the strategic planning and day-to-day oversight of a team of approximately 100 associates. The candidate...
Position Description • Performing preformatted credit and other financial analysis on various on Third Party Administrators contracted to adjust insurance claims on behalf of AIG. • Will be involved in analyzing , updating, and extracting data from financial spreadsheets. Will perform financial analysis to include comparative, trend and ratio analysis. Will report and communicate to department man...
About TD Bank, America's Most Convenient Bank® TD Bank, America's Most Convenient Bank, is one of the 10 largest banks in the U.S., providing more than 8 million customers with a full range of retail, small business and commercial banking products and services at approximately 1,300 convenient locations throughout the Northeast, Mid-Atlantic, Metro D.C., the Carolinas and Florida. In addition, TD...
Position Description About VALIC: VALIC specializes in retirement savings and investment products and services, including individual variable and fixed annuities, group retirement products, mutual funds, financial planning and investment advisory services and guaranteed investment contracts. VALIC has more than half a century of experience helping Americans plan for and enjoy a secure retirement a...
Company Confidential Houston, TX, 77002
HC988447: WM Corporate Services, Inc. Houston, TX See Below to Apply WM Corporate Services, Inc. seeks Director of Compliance Audit Services; Position will provide leadership and direction to the Environmental, Health and Safety and DOT compliance audit function by developing and promoting policies, processes and procedures necessary for audit teams. Position will execute and maintain environmenta...
Position Description Position Overview: This position will provide support to plan sponsors by providing the following activities: working with controlled and/or affiliated service groups; collection of census, plan, and client data; the input of employer data to a pension system and setting up proper plan files; monitoring plan activities, including contributions and distributions, for ongoing co...
Position Description Manager – Retirement Plan Compliance Services VALIC is currently seeking an experienced leader to join our Institutional Services Management Team here in Houston, TX. As a Manager of this team of Retirement Plan experts you will be a strategic part of delivering a suite of products, services and technology to our clients that exceed their expectations and help their employees...
Publicly traded financial services company is seeking an accountant or auditor with financial products background to join their team. This is an exciting rotational program that will offer movement and career opportunity for a talented and motivated individual. This Internal Audit position is an ideal role for the accountant interested in venturing into audit – a rare opportunity! This is a full t...
IBM Global Business Services - Help Make the World Work Smarter The world is getting smarter, triggering unprecedented change. IBM's unparalleled ability to bring together deep business insight, advanced research, analytics, and technology enables IBM Global Business Services to help position its clients for the future. We leverage the proven roadmaps and frameworks that have been developed across...
We're AutoNation - America's largest automotive retailer from coast to coast, with over 220 stores representing 34 different vehicle brands. Our vision is to be America's best place to buy and service cars and trucks. We do this by attracting great people to join our team who will delight our Customers and drive Customer loyalty. We offer great career opportunities from coast to coast, along with...
80-85k + 20% bonus Great Opportunity- Billion $ financial services co. seeks Bachelors degree + 5-8 years relevant experience in accounting with a mix of big 4 public accounting and Financial services corporate experience. CPA preferred, MBA is a +. In depth knowledge of GAAP required. Department Function: Financial Reporting prepares the financial statements of the company and its subsidiaries....
Randstad Professionals has teamed up with our client a premier, multi billion dollar, financial services firm located in Boston, MA. We are currently recruiting for entry level professionals interested in starting a career in Financial Service. ABOUT THE COMPANY: Considered an industry leader in worldwide financial services our client prides itself in its management's ability to develop and nurtur...
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$33,280.00 - $108,000.00
Typical Salary for Compliance Analyst
Source: Monster.com Careerbenchmarking Tool
Education / Training
Some College Coursework Completed
Source: Monster.com Careerbenchmarking Tool
Maintains legal and regulatory compliance by researching and communicating requirements; obtaining approvals.
Rate of Growth
Size of Industry in 2006:
Source: Bureau of Labor Statistics, May 2006
Obtains approvals by revising forms and rates.
Prepares reports by collecting, analyzing, and summarizing information.
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