- UpvoteDownvoteShare Job
- Suggest Revision
Deep knowledge and understanding of FINRA and SEC broker-dealer compliance rules and regulations. 2-5 years of validated experience in broker-dealer compliance. 2-5 years of broker-dealer compliance experience.
$200,000 a yearFull-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
Perform a variety of risk and incident management, including analysis projects in order to support the division Title: Compliance Specialist FLSA Status: Exempt Department: Acacia Network Housing Union Status: Non-Union Reports To: Senior Director of Quality Improvement Weekly Hours: 35 Status: Full Time Schedule: 9:00 AM - 5:00 PM Page 2 of 4 Job Description - Compliance Specialist.
ExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Good experience with (or exposure to) all aspects of a Broker-Dealer Compliance program: WSPs, 3120/3130 supervisory control reviews, AML/BSA requirements, personal trading reviews, surveillance of e-communications, AdReg, continuing education etc.
$175,000 a yearFull-timeExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
- Suggest Revision
The role involves auditing several critical areas of compliance, with a primary focus on Financial Crimes, including Anti-Money Laundering (AML), Sanctions, Bribery, Corruption, and other compliance areas such as Privacy Compliance, Electronic Communications Surveillance, and General Compliance Audit Tasks.
$85 an hourFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
- Suggest Revision
7+ years managing a similar compliance function with a strong, “SME status” understanding and focus on BSA/AML, financial crimes, and banking/fair lending regulations within the banking, fintech, or financial services industry.
$250,000 a yearFull-timeExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Strong knowledge of Federal and State consumer compliance regulations is required plus a good understanding of AML/BSA rules and regulations. This individual will manage a compliance team of 2.5 plus have oversight to the BSA program, which consists of 5, including the BSA Officer.
ExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
- Suggest Revision
As the Senior Manager of Global Trade Compliance at Oura, you will lead the global trade compliance function, ensuring adherence to all applicable import/export laws and regulations across various regions.
Full-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Broker Dealer Compliance Officer Opportunity. The compliance team of a New York-based boutique broker-dealer and wealth management firm is in search of a Compliance Officer to join their rapidly growing firm.
Full-timeExpandApply NowActive JobUpdated 9 days ago - UpvoteDownvoteShare Job
- Suggest Revision
You will oversee the design and delivery of the NFA/CFTC controls program, portfolio of projects, incident management, and implementation of overall compliance framework for the FCM as it pertains to the Futures product.
Full-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
- Suggest Revision
HPD is seeking a highly motivated individual to join LMU’s team of labor compliance officers. Monitoring labor law compliance on city-financed development projects subject to prevailing wage and other pay requirements.
$70,022 a yearFull-timeExpandApply NowActive JobUpdated 14 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Consult with the ICN leaders, professionals, and various Risk & Brand Protection compliance groups (Anti-Corruption, Cyber Security, CoRe Procurement, etc.) Prior public accounting (Big 4), consulting, or regulatory compliance experience A demonstrated ability to lead, coordinate, and prioritize amidst multiple projects.
$135,800 a yearFull-timeExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
- Suggest Revision
At least 5 years of total experience with prior work in a legal, compliance, or regulatory role with a law firm, financial institution, online sportsbook operator, casino or other gaming establishment, or within another highly regulated industry.
Full-timeExpandApply NowActive JobUpdated 2 months ago - UpvoteDownvoteShare Job
- Suggest Revision
As a member of the NERC Compliance Group, you will perform governance and oversight of PSEG’s compliance with the NERC Critical Infrastructure Protection (CIP) Reliability Standards. Compile, review, assess, and maintain NERC compliance documents.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Previous broker dealer compliance or other financial services responsibilities a plus. Coordinate with CCO to develop the Firm's internal compliance dashboard for servicing client accounts, managing the books and records database, corporate actions, and other operational tasks.
ExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
- Suggest Revision
This role involves implementing and monitoring compliance standards and policies for our CO+I division of Microsoft, with an emphasis on Construction Governance, Anti-Bribery/Anti-Corruption, Human Rights, Third Party Risk Management, as well as supporting our construction audit, AI Compliance, Controls Monitoring, and Financial Compliance programs.
$200,500 a yearFull-timeExpandApply NowActive JobUpdated 16 days ago
compliance job Company: Metroplus Health Plan in Hoboken, NJ
FEATURED BLOG POSTS
Virtual Reality Job Interviews
With the advent of desktop computers, the arduous task of scouring through weekly job classifieds became a thing of the past. The mid-1990s brought about a new era where job seekers could easily search and apply for jobs online. The introduction of AOL's Instant Messaging feature provided an even faster means for employers and candidates to communicate and schedule interviews. As smartphones became more pervasive in the early 2000s, hiring managers increasingly used phone calls for screening and interviewing candidates. Despite this trend, over 80% of interviews still took place in person.
A Potential TikTok Ban?!
As you may already know, there has been a lot of talk lately about the possibility of a TikTok ban. While this has not yet come to fruition, it's important to consider the implications this could have for businesses and recruiters who rely on TikTok as a platform to market their brand, recruit new talent, and connect with their audience.
The Effects of Workplace Racism and Sexism
One day it's a covert statement to a mother returning to work after maternity leave. Another day it's a lingering gaze at an employee enjoying a culturally rich meal. These microaggressions (or sometimes macroaggressions) can take an employee from a confident, high-performer to one that feels insecure being themselves at work. Your employees engage with people with different ideas and feel most comfortable and valued when they can work without losing their cultural, racial, and gender identity. While most employers know this, why have workplace racism and sexism often been neglected?
When Rage Applying Strikes: How to Identify Unserious Candidates
As the job market remains highly competitive, we have seen a surge in "rage applying." This is when candidates apply to multiple jobs, often without considering whether they are truly interested in the role. Rage applying goes hand-in-hand with quiet quitting. Often, employees want to entertain the thoughts and feelings of leaving their job, but they aren't necessarily serious about leaving yet. Meanwhile, other employees engaging in this trend are actually trying to find a better role. As a recruiter, it can be hard to identify who are the real applicants in a sea full of quiet quitters, but understanding rage applying and identifying red flags will certainly help.
How to Increase Job Ad Exposure
In today's competitive job market, writing quality job ads is critical for attracting top talent to your organization. While networking and candidate referrals are prime real estate for finding qualified candidates, nothing beats the tried-and-true method of writing an extraordinary job ad. But while writing a great job ad is the first step, what's more important is increasing visibility. You could have the most detailed, well-written ad on the internet, but if no one sees it, then you are wasting time (and potentially money!). Employers often believe that job boards are the root of the problem, but you can learn how to increase job ad exposure by tweaking a few steps of your recruitment process.
How to Navigate Hiring Out of State
The job market has shifted significantly in recent years. The accelerated adoption of technology has not only pushed many companies into remote working arrangements but also increased the availability of supporting tools and technologies (i.e., video conferencing and collaboration software).
Building a Candidate Pipeline Through Internships
Building a candidate pipeline through a great internship program for local college students and recent graduates at local universities is a great and cost-effective way to attract and retain top talent. By offering meaningful and impactful work experiences, regular feedback, coaching, and mentorship, you can create a positive internship experience that will make your organization a sought-after destination for future employees. This not only benefits the organization in the short-term but also in the long-term, as you'll have a pool of well-trained and experienced candidates who may be interested in full-time employment once they graduate. Furthermore, building relationships with local universities and college students can increase brand awareness and build a positive reputation for your organization in the local community.