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. ...
Associate Counsel, Policy & Compliance
Our mission is to guide and support legal compliance with privacy laws, regulations, and policies while simultaneously enabling Disney to deliver the entertainment, experiences, inspiration, and magic that make it one of the most iconic and respected companies in the world. Advise on legal and busin...
Compliance and Privacy Director
A company is looking for a Compliance & Privacy Director to manage its compliance and privacy program. ...
Associate General Counsel/ERISA Lawyer
We are seeking a knowledgeable and experienced Associate General Counsel to join our in-house legal team. ...
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...
Director, Global HR Compliance
We are seeking a seasoned and dynamic Director of Global HR Compliance to oversee compliance initiatives across the Americas, EMEA (Europe, Middle East, and Africa), UK, and APAC (Asia-Pacific) regions. As the Director of Global HR Compliance, you will play a pivotal role in ensuring that our HR pol...
Compliance/SnapLogic Analyst
We are seeking a detail-oriented Compliance Analyst to join our team focused on generating files for state compliance using SnapLogic. The Compliance Analyst will work closely with technical teams to ensure the smooth generation and submission of files for audit purposes. Compliance Monitoring: Cont...
Labor Compliance Analyst
The Labor Compliance Analyst is responsible for monitoring, auditing, and enforcing the Los Angeles Community College District (LACCD) Labor Compliance Program in accordance with LACCD and Department of Industrial Relations (DIR) standards. Monitor changes and updates to state and federal labor comp...
Reports Compliance Assistant Representative
As the collective voice of more than 19,000 members, the Directors Guild of America (DGA) helps empower directorial teams to protect and enhance their creative and economic rights while strengthening their ability to develop meaningful and successful careers. Demonstrate proficiency in PC operating ...
Personal Injury Law Firm Chief Operating Officer Coo
We are now seeking a dynamic and experienced Chief Operating Officer (COO) to join our leadership team and help drive our firm to new heights. ...