Talent.com
serp_jobs.error_messages.no_longer_accepting
FINRA Licensed Compliance Consultant

FINRA Licensed Compliance Consultant

VirtualVocationsSacramento, California, United States
job_description.job_card.variable_days_ago
serp_jobs.job_preview.job_type
  • serp_jobs.job_card.full_time
job_description.job_card.job_description

A company is looking for a Compliance Consultant to support broker-dealer and registered investment adviser operations.

Key Responsibilities

Conduct and document marketing and advertising reviews for compliance

Provide regulatory guidance and training to business partners regarding marketing materials

Assist with compliance training programs, regulatory filings, and risk assessments

Required Qualifications

FINRA Series 7 & 24 required

3-5 years of financial services experience with a Broker Dealer and / or SEC registered investment advisor

2+ years of experience reviewing marketing and advertising materials

Experience drafting compliance policies and procedures

College degree preferred

serp_jobs.job_alerts.create_a_job

Compliance Consultant • Sacramento, California, United States

Job_description.internal_linking.related_jobs
  • serp_jobs.job_card.promoted
Compliance Director

Compliance Director

TradeJobsWorkForce94296 Sacramento, CA, US
serp_jobs.job_card.full_time
Compliance Director Job Duties : Accomplishes compliance human resource strategies by determining acco...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
Business Risk Consultant

Business Risk Consultant

Sales MatchSacramento, California, United States
serp_jobs.filters.remote
serp_jobs.job_card.full_time
serp_jobs.filters_job_card.quick_apply
Remote Business Risk Consultant.We are looking for an experienced Business Risk Consultant to help organizations identify, assess, and manage risks that could impact their operations, financial sta...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
  • serp_jobs.job_card.promoted
Risk Manager

Risk Manager

TradeJobsWorkforce95841 North Highlands, CA, US
serp_jobs.job_card.full_time
Risk Manager job responsibilities : Leads the identification, communication, measurement, and management o...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
  • serp_jobs.job_card.promoted
PayPal Fraud Analyst

PayPal Fraud Analyst

TradeJobsWorkforce95834 Sacramento, CA, US
serp_jobs.job_card.full_time
Be part of our success story as a PayPal Fraud Analyst to review transactions and identify suspicious activity.Work with your team to maintain efficiency and high standards.Stay adaptable to changi...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
  • serp_jobs.job_card.promoted
Compliance & Governance Associate

Compliance & Governance Associate

eTeamSacramento, CA, US
serp_jobs.job_card.full_time
Compliance & Governance Associate.Job Summary : We are seeking a detail-oriented and proactive Compliance & Governance Associate to support our organization's regulatory, risk management, and corpor...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
Leasing Consultant

Leasing Consultant

Asset LivingSACRAMENTO, CA, US
serp_jobs.job_card.full_time +1
Asset Living is a third-party management firm and a proven partner in fostering thriving communities nationwide.Founded in 1986, Asset Living has decades of experience delivering exceptional value ...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
  • serp_jobs.job_card.promoted
Director, Policies, Compliance and Programmatic Agreements - Davis, CA, Job ID 81577

Director, Policies, Compliance and Programmatic Agreements - Davis, CA, Job ID 81577

University of California Agriculture and Natural ResourcesDavis, CA, United States
serp_jobs.job_card.full_time
Director, Policies, Compliance and Programmatic Agreements Job ID 81577.University of California Agriculture and Natural Resources. This position is responsible for administration of policy, complia...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
  • serp_jobs.job_card.promoted
Risk Engineering Technical Consultant

Risk Engineering Technical Consultant

Liberty Mutual Insurance GroupSacramento, CA, US
serp_jobs.job_card.full_time
Provides highly complex consultative services to an assigned group of customers within a specialty segment or territory.Conducts on-site evaluations, evaluates data, and creates / implements service ...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
  • serp_jobs.job_card.promoted
Business Controls, AVP

Business Controls, AVP

State StreetSacramento, California, United States
serp_jobs.job_card.full_time
This job is with State Street, an inclusive employer and a member of myGwork – the largest global platform for the LGBTQ+ business community. Please do not contact the recruiter directly.Job Descrip...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
  • serp_jobs.job_card.promoted
Third-Party Risk Management (TPRM) Specialists

Third-Party Risk Management (TPRM) Specialists

eTeamSacramento, CA, US
serp_jobs.job_card.full_time
Job Summary : Providing superior service delivery & support to the LOB clients and Corporate sector clients in the region. Primary TPRM Lead in any Regulatory matters, including exams, meetings, in t...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
  • serp_jobs.job_card.promoted
Asset Protection Specialist

Asset Protection Specialist

Home Depot (Retail)Elk Grove, CA, US
serp_jobs.job_card.full_time
The Asset Protection Specialist is primarily responsible for preventing financial loss caused by theft and fraud and supporting safety and environmental program compliance in their assigned store / m...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
  • serp_jobs.job_card.promoted
Lead, Strategy and Risk Management (Hybrid)

Lead, Strategy and Risk Management (Hybrid)

California ISORepresa, CA, US
serp_jobs.job_card.full_time
Lead, Strategy and Risk Management (Hybrid).The California Independent System Operator (ISO) manages the flow of electricity across the high-voltage, long-distance power lines that make up 80 perce...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
  • serp_jobs.job_card.promoted
Mortgage Field Services Inspector

Mortgage Field Services Inspector

Far InspectionsIone, CA, US
serp_jobs.job_card.full_time
FAR Inspections is looking for highly motivated individuals to perform residential occupancy verifications on behalf of mortgage lenders. Independent contractors earn predictable full-time or supple...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
Affordable Housing Leasing Consultant

Affordable Housing Leasing Consultant

Asset LivingSacramento, CA, US
serp_jobs.job_card.full_time +1
TAX CREDIT / AFFORDABLE HOUSING EXPERIENCE PREFERRED • •.Asset Living is a third-party management firm and a proven partner in fostering thriving communities nationwide. Founded in 1986, Asset Living ha...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
  • serp_jobs.job_card.promoted
For additional information, please reviewCiti's Privacy Policy.

For additional information, please reviewCiti's Privacy Policy.

CitigroupElk Grove, CA, US
serp_jobs.job_card.full_time
Analyst SAFE Act is a seasoned professional role.Applies in-depth disciplinary knowledge, contributing to the development of new techniques and the improvement of processes and workflow for the are...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
  • serp_jobs.job_card.promoted
Category Leader, Principal

Category Leader, Principal

PG&E CorporationAuburn, CA, US
serp_jobs.job_card.full_time
Requisition ID # 166282 .Job Category : Procurement / Supply Chain .Business Unit : Engineering, Planning & Strategy.The Sourcing organization is the functional lead for the procur...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
  • serp_jobs.job_card.promoted
Licensed Professional Counselor (LPC)

Licensed Professional Counselor (LPC)

Rula HealthHood, CA, United States
serp_jobs.job_card.part_time
At Rula, our mission is simple : .We partner with a nationwide network of licensed clinicians committed to delivering compassionate, effective care for individuals, couples, and families.We make thi...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
  • serp_jobs.job_card.promoted
Risk Manager

Risk Manager

TradeJobsWorkForce95837 Sacramento, CA, US
serp_jobs.job_card.full_time
Risk Manager Job Duties : Leads the identification, communication, measurement, and manag...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30