A company is looking for a Compliance Officer - Ecomms and Technology Surveillance.Key ResponsibilitiesAct as a compliance risk control subject-matter expert for ecomm communications policiesReview ecomm communications, conduct analysis, and identify suspicious activitiesPartner with compliance directors and stakeholders to identify potential misconduct and provide input on issue dispositionRequired QualificationsBachelor's degree or experience in a financial services firm, regulatory organization, or legal / consulting firmWorking knowledge of securities industry regulationsExperience with a Broker Dealer or FINRA is preferredProficiency in Bloomberg Vault or other ecomm retention platforms is preferredExperience with complex databases and data analytics is preferred
Ecomms Compliance Officer
A company is looking for a Compliance Officer - Ecomms and Technology Surveillance. ...
Director, Facilities Maintenance & Regulatory Compliance
Complies compliance information, produces compliance reports, requests variances and assists government officials with on-site compliance inspections. ...
Associate, Compliance
We are currently seeking an Associate, Compliance to join our team. Participate in ongoing compliance testing of the compliance program. This individual should be a dynamic self-starter who will assist in all aspects of compliance in adherence to the Investment Advisers Act of 1940, the Investment C...
Compliance Associate Senior
Every day will be different as you partner with our in-house lawyers, compliance managers, and investment operations professionals to assist our portfolio compliance operations and research global regulatory requirements. You'll conduct investment compliance research, manage, and prepare regulatory ...
Assistant General Counsel - Pharmacy Operations
A company is looking for an Assistant General Counsel - Pharmacy Operations. ...
Senior Business Process & Compliance Analyst
We are seeking an experienced and analytical Senior Business Process & Compliance Analyst to join our team. In this role, you will evaluate and improve business processes to enhance efficiency, ensure compliance with regulatory requirements, and align with industry standards and internal policies. T...
Risk and Compliance Analyst
Our client, a national law firm, is seeking an experienced Risk and Compliance Analyst to join their team!. Maintain a balanced risk management and compliance control framework, working with key stakeholders in alignment with Firm and client standards. Review Firm policies, procedures, and standards...
Compliance Analyst (Cannabis)
Support the compliance manager in overseeing daily operations, ensuring regulatory compliance. Develop and maintain operational standards for safety, inventory control, and cannabis compliance. Implement corrective actions promptly to address any compliance deficiencies. Lead inventory audits to ens...
Program Compliance Specialist
Are you an experienced Program Compliance Specialist with a desire to excel? If so, then Talent Software Services may have the job for you! Our client is seeking an experienced Program Compliance Specialist to work at their company in Los Angeles, CA. Maintain the compliance database by tracking due...
Compliance Specialist
Ability to read and interpret complex documents such as regulatory agreements and compliance regulations, tenant files, etc. Certified Occupancy Specialist or similar certifications are required. Field incoming inquiries from site staff with questions directly related to income and asset eligibility...