Compliance Specialist Jobs

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1-15 of 209 Jobs
Federated Investors - Pittsburgh, PA
FINRA rules, '40 Act requirements) required; working knowledge of regulations governing mutual funds (e.g....
2 days ago
Societe Generale - New York, NY
Environment The SGUS Compliance Department monitors the corporate banking, investment banking and brokerdealer activities of SGUS and reports on the compliance risks and issues to SGUS and Global...
2 hours ago
Aegon - Cedar Rapids, IA
Proven ability to prepare and administer mutual fund compliance policies and procedures Thorough understanding of compliance issues affecting mutual funds Ability to work independently to achieve results...
1 hour ago
Charles Schwab - Austin, TX
Austin - TX, AUS2, 2309 Gracy Farms Lane, 78758 Debra Andrea Mandell 2... **We believe that** , when done right, investing liberates people to create their own destiny. **We are driven** by our...
2 days ago
Informa - White Plains, NY
Information Security Compliance Officer Information Security Compliance Officer White Plains, New York Job Reference: WPNY-TEC-03849 Location: White Plains, New York Closing Date: 28/09/2018...
2 days ago
Informa - Nashville, TN
Information Security Compliance Officer Information Security Compliance Officer Nashville, Tennessee Job Reference: NTX-TEC-02480 Location: Nashville, Tennessee Closing Date: 28/09/2018...
2 days ago
Informa - Dallas, TX
Information Security Compliance Officer Dallas, Texas Job Reference: DTX-TEC-03850 Location: Dallas, Texas Closing Date: 28/09/2018 Department: Technology Information Security Compliance Officer -...
2 days ago
Robert Half Corporate - Bethesda, MD
Robert Half Legal is working with one of our clients on a new contract opportunity for a BSA/AML Analyst. This opportunity could begin as early as this week and is expected to last approximately 1...
15 hours ago
Zions Bancorporation - Salt Lake City, UT
Compliance Officer - Tax and Lending - UT ( Job Number: 042607 ) Description Zions Bancorporation is one of the nations premier financial services companies, consisting of a collection of great...
7 hours ago
Alliance Data Systems, Inc. - Columbus, OH
Sr. Analyst, Compliance Advisory (Collections) - ( 0095969 ) Job Summary Provides consumer related regulatory guidance and support and is a credible challenge to the first line of defense (FLOD)...
2 days ago
Flushing Financial Corporation - Uniondale, NY
Compliance Officer Job Title: Compliance Officer Job Type: Full-Time Location: Uniondale, NY Job Description: Major Duties and Responsibilities: a?Manages, assist and supports management with...
2 days ago
Alliance Data Systems, Inc. - Columbus, OH
Specialist, Compliance Advisory (Collections) - ( 0095711 ) Job Summary Provides consumer related regulatory guidance and support and is a credible challenge to the first line of defense (FLOD)...
1 day ago
Saint Paul, MN
Premier Bank seeks an experienced NMLS licensed Mortgage Lender. This position will be based out of our Maplewood location, with flexibility to work in other locations. This position will be...
10 hours ago
Bloomberg - Amsterdam, NY
Bloomberg's Legal Department plays a critical role in supporting our businesses and operations around the world. We move quickly and thoughtfully to help address a variety of complex legal issues...
4 hours ago
CXG - Melville, NY
Job Description We are a Finra registered broker-dealer, currently seeking to add team members to our compliance & operational staff. Ideal candidate should have a minimum of 3-5 years with a...
3 days ago

Compliance Specialist Online Courses and Training Opportunities

GDPR Compliance: Essential Training
The General Data Protection Regulation (GDPR) is a new privacy-related regulation in the EU that will become active and enforceable in May of 2018. GDPR requires US companies doing business in the...

SharePoint: Compliance Management
Records management is critical for any business that faces regulatory scrutiny, including healthcare and financial services. Luckily, SharePoint makes it easy to stay compliant while saving money...

Microsoft 365: Achieving GDPR Compliance
Starting from May 25, 2018, all European individuals are protected by the new General Data Protection Regulation (GDPR). All businesses and their trading partners, including all foreign companies...

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