A company is looking for a Compliance Analyst - Registration to process registration requirements for registered representatives and associated persons of affiliated broker-dealers.
Key Responsibilities : Assist candidates with onboarding and registration requirementsProcess FINRA filings, including U4s, amendments, and U5 terminationsServe as a key resource for clients and representatives regarding registration mattersRequired Qualifications : Bachelor's degree or equivalent work experienceMinimum 1 year of relevant work experience, preferably in financial servicesExperience with standard office and regulatory software preferredAbility to prioritize and meet multiple deadlinesFINRA licenses preferred or ability to obtain within one year of hire
Compliance Analyst - Registration
A company is looking for a Compliance Analyst - Registration to process registration requirements for registered representatives and associated persons of affiliated broker-dealers. Key Responsibilities:Assist candidates with onboarding and registration requirementsProcess FINRA filings, including U...
Business Analyst - REMOTE
The Business Analyst is a key member of the SRE, Inc. The Business Analyst will support one or more contracts and provide superior consulting services to the end client. Analysis of current state documentation, data, and related systems to determine relevant business and/or technology needs. Creatio...
Audit and Compliance Officer
The Office of the Chief Financial Officer (OCFO) whose mission is to enhance the fiscal and financial stability, accountability and integrity of the Government of the District of Columbia is in search of a Audit and Compliance Officer. The incumbent is responsible for administering the OLG's regulat...
Data Entry Clerk
A company is looking for a Data Entry Clerk-Administrative for a 9+ month temp-to-hire position. ...
IV&V Analysts with financial ERP experience & Secret Clearance
The vision animating the DON’s Financial Management transformation efforts is that financial operations are executed in modern Enterprise Resource Planning (ERP) systems using standardized business processes with internal controls tested annually based on risk; the DON budget is transparent an...
Civil Project Manager
The qualified candidates should have BS degree in Civil Engineering with 7+ years’ experience in municipal, stormwater or water resource projects. ...
Compliance Analyst
This position will support the Foundation’s conservation award-making activities by focusing on the areas of compliance and risk analysis relating to the Foundation and its subrecipients and for programmatically funded contractors. Review and approve applicant budgets to ensure compliance with...
Financial Analyst
Prepare and submit procurement request by determining appropriate financial code structure for each purchase, providing contact information and attaching supporting documentation to each. Provide the budget/financial section context for the Annual Report. Participate in one-on-ones to help staff und...
GIS Analyst
Overview* We are seeking a skilled and detail-oriented GIS Analyst to join our dynamic team. The GIS Analyst will play a crucial role in enhancing our understanding of geographic data and contributing to informed decision-making processes. ...
Information Security Compliance Specialist
Update IT Security Compliance SOPs. Monitor and report on FISMA Compliance activities. ...