Financial Services Compliance Jobs
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Search Results - Financial Services Compliance Jobs
Direct Counsel, LLC-New York
Direct Counsel is seeking a mid-level to senior Financial Services Compliance/Regulatory Attorney to join a top law firm in their Financial Services Compliance team. We are seeking a dynamic individual with a minimum of four years' experience...
resume-library.com -
Robert Half-Palo Alto (CA)
and procedures including related internal controls, compliance training, independent testing, AML and recordkeeping requirements.
4. Perform regular compliance annual testing.
Ideal Candidate:
• 5+ years of accounting experience within the financial services...
mindmatch.ai -
M/I Homes-San Antonio
for supporting M/I Financial at our corporate office located in Columbus, Ohio. The Mortgage Intern will have an opportunity to rotate through corporate functions to include Secondary Marketing, Financial Services, Compliance & Quality Control, Underwriting...
resume-library.com -
Parafin Inc.-San Francisco
In-house experience
• In-depth knowledge of SME lending laws
• Experience working with and/or knowledge of financial services compliance
• Litigation familiarity
• Background working with multiple financial services products
What We Offer
• Salary...
appcast.io -
Robert Half-Menlo Park (CA)
on compliance and operational issues.
• Stay updated on legal changes and update policies accordingly.
Qualifications:
• 5+ years of accounting experience in financial services compliance/legal
• FRNA and SEC filing reporting is a huge plus but if not, risk...
roberthalf.com -
Vanguard-Charlotte
as a liaison to regulatory agencies.
• Participates in special projects and performs other duties as assigned.
What it takes:
• Minimum of five years related work experience, with at least two years within a financial services compliance function. Regulatory...
Jobs for Humanity-Bolingbrook
and external examinations including, but not limited to, FINRA, SEC and on-site internal and external audits
Other duties as assigned
What you will need:
2-4 years of financial services compliance experience at a broker-dealer or similar financial...
resume-library.com -
Robert Half-Menlo Park (CA)
be VP of compliance, VP of legal, COO
• Team is very friendly, very easy to work with and open minded communication style
Key requirements:
• 5+ years of accounting experience within the financial services compliance/legal space
• FRNA and SEC filing...
roberthalf.com -
Amazon-New York
of compliance programs and attestations to enable our customer base.
AWS is looking for independent, passionate, and deeply experienced professionals in the global financial services compliance and governance arena to provide thought leadership in assisting...
amazon.jobs -
Robert Half-Menlo Park (CA)
be VP of compliance, VP of legal, COO
• Team is very friendly, very easy to work with and open minded communication style
Key requirements:
• 5+ years of accounting experience within the financial services compliance/legal space
• FRNA and SEC filing...
roberthalf.com -
Robert Half-San Mateo (CA)
Operation/Investment Policy and Procedures
Keys:
• 5+ years of accounting experience within the financial services compliance/legal space
• FRNA and SEC filing reporting is a huge plus but if no, risk control experience will do as well
• Mandarin...
roberthalf.com -
Robert Half-Menlo Park (CA)
be VP of compliance, VP of legal, COO
• Team is very friendly, very easy to work with and open minded communication style
Key requirements:
• 5+ years of accounting experience within the financial services compliance/legal space
• FRNA and SEC filing...
roberthalf.com -
Robert Half-San Mateo (CA)
Operation/Investment Policy and Procedures
Keys:
• 5+ years of accounting experience within the financial services compliance/legal space
• FRNA and SEC filing reporting is a huge plus but if no, risk control experience will do as well
• Mandarin...
roberthalf.com -
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