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. ...
Manager, Global Compliance
JobPosting","title":"Manager, Global Compliance","datePosted":"2024-08-26T00:00:00","validThrough":null,"description":"What you will be doing\nYou will lead and oversee PMI's organization-wide legal policy compliance and risk management involving global legal regulatory requirements for development ...
Director Associate General Counsel
A company is looking for a Director, Associate General Counsel, Product and Privacy. ...
Assistant General Counsel, Brand/Specialty Distribution & Services
The lawyer in this role should have very good to excellent project management skills because the Assistant General Counsel role often requires the lawyer in this role to take on mixed legal and business responsibility for, and project management of, contracts or other matters that the client group w...
Audit Manager - Consumer Compliance
Bright Vision Technologies has a immediate opportunity for a Audit Manager - Consumer Compliance based out of Charlotte, NC. Job Title: Audit Manager - Consumer Compliance. As an Audit Manager, you will be responsible for providing oversight, advising, and collaborating with audit partners to monito...
Assistant General Counsel, Capital Markets
Reporting to our President & General Counsel, the Assistant General Counsel, Capital Markets, will be a key leader and trusted advisor on Palmetto's Capital Markets team. Manage relationships with external legal counsel and other third-party service providers. A strong leader who has the abi...
Remote Retirement Plan Compliance Analyst
Compliance position that has an advanced understanding of all plan types and facilitates more complex interactions with the Plan Consultants. Ability to successfully complete and support the work outlined for the Compliance Associate roles. Reads and comprehends retirement plan provisions from plan ...
Armed Detention Officer- Active & Retired Law Enforcement/Corrections
Are you looking to be part of a company where teamwork is encouraged? A company with plenty of growth and career advancement opportunities? Do you want a flexible schedule? Look no further because we are currently seeking Per-Diem Armed officers to join our growing USI team in Charlotte! . Armed Det...
Senior Compliance Analyst
Compliance Organization within the Legal and Compliance team and will report into the Sr. The primary purpose of this position is to monitor, review, and advise internal and external clients on compliance issues directly related to LendingTree offerings and products. Ensuring all non-partner materia...
Financial Services Risk and Compliance Consulting Director
We are currently seeking a Financial Services Risk and Compliance Consulting Director to join our team in Charlotte, NC, or NYC, United States (US). The Risk & Compliance Consulting team includes management consultants who help our Financial Services clients effectively navigate today’s risk ma...