Compliance Officer Jobs (Finance)

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Compliance Officer: Financial Services Firm (New York, NY); ...include oversight of all trading activities with support of a small staff. This individual will be responsible for the adherence to all applicable rules and regulations and respond to all inquiries. The position also requires furnishing of reports to senior management of all exceptions and...; Email this job
TheLadders (11/09/09)
Compliance Officer: Financial Services firm (Salt Lake City, UT); ...Provide day-to-day advisory service to Operations, Technology, Finance, Services on the firm’s policies and regulations that apply to these functions. Help develop and deliver training as part of ongoing Compliance training program tailored to suit the individual requirements of our various...; Email this job
TheLadders (10/12/09)

Compliance Officer: Robert Half Finance & Accounting (Chicago, IL); ...Additional Information Location: Chicago, IL Job ID: 01300-118477 Experience: The ideally want to hire someone with at least 2-3 years of regulatory compliance experience with a trading firm and experience with FINRA and WebCRD. Solid computer skills are also required. A Series 7 and 24 is...; Email this job
Robert Half International (09/26/09)
Sr. Compliance Officer: Robert Half Finance & Accounting (San Antonio, TX); ...In this very specialized role, the Compliance Officer will develop policies and procedures to ensure continuous compliance with all applicable federal and state laws and regulations. This is a high profile position that will make presentations to upper management, as well as, interact with...; Email this job
Robert Half International (09/30/09)
Equity Derivatives Compliance Officer: UBS Financial Services (Stamford, CT); ...Equities Compliance within the UBS IB Americas Compliance Department is responsible for executing the mission of the UBS IB Compliance Department to the Equities Division throughout Region Americas. The mission includes: . Advice on transactions, compliance policies and procedures, and...; Email this job
UBS Financial Services (10/06/09)
Compliance Officer: Dimensional Fund Advisors (Austin, TX); ...* Provide expert advice and guidance to the firm and its employees on sales and marketing compliance regulations (Investment Advisers Act, Investment Company Act, ERISA, SEC and FINRA regulations) * Serve as the main compliance resource for the Communications, Marketing and Sales teams *...; Email this job
Dimensional Fund Advisors (10/09/09)
Compliance Officer: The Bank of New York Mellon (San Francisco, CA); ...Analyzes existing and proposed legislation, regulatory announcements, and industry practices for compliance requirements, and helps businesses develop and implement procedures to meet these requirements. Validates controls or project plans to ensure compliance with laws, rules and...; Email this job
The Bank of New York Mellon (10/14/09)
Chief Compliance Officer - Banking: Robert Half Finance & Accounting (Dallas, TX); .... 7+ years compliance experience . Mortgage/Banking background is a must . Solid career progression/tenure If you are interested, please send your resume to David Ahmad at david.ahmad@roberthalf.com, citing Chief Compliance Officer in the subject line. Unit: Robert Half Finance &...; Email this job
Robert Half International (10/22/09)
Senior Compliance Officer: HSBC (Newark, DE); ...Make the Right Move and join a winning team! Build your career with us. HSBC - North America is a part of HSBC Group, one of the largest banking and financial service organizations in the world. Our domestic strength and extensive global network provides our employees with the best of both...; Email this job View duplicates
HSBC (10/28/09)
Compliance Officer: HSBC (Newark, DE); ...Make the Right Move and join a winning team! Build your career with us. HSBC - North America is a part of HSBC Group, one of the largest banking and financial service organizations in the world. Our domestic strength and extensive global network provides our employees with the best of both...; Email this job View duplicates
HSBC (10/31/09)
Compliance Officer: Toyota (Las Vegas, NV); ...AsCompliance Officer, you will make your mark by: * Developing and monitoring compliance for all bank policies and review procedures. * Developing CRA plan and cultivating relationships within the designated community as a Community Reinvestment Act Officer. * Teaching compliance training...; Email this job View duplicates
Toyota (11/03/09)
Compliance Officer: Robert Half Finance & Accounting (New Haven, CT); ...This role will assist in managing the organization's compliance department that oversees and ensures corporate compliance with appropriate federal and state laws and regulations impacting its operations. This role also oversee entity-wide monitoring and assessment programs to ensure...; Email this job
Robert Half International (11/03/09)

Category : Finance : Compliance Officer Jobs (1 - 10)