Top 18740 Compliance Jobs

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Compliance Examiner
DEXIAN —Remote
- $80,000 - $85,000 a year
- Full-time
- Remote
- Up to 50% travel
- Computer literacy
- Mid-level
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4d
Compliance Analyst
Array —Remote
- From $110,000 a year
- Full-time
- Remote
- Google Workspace
- Mid-level
- Analysis skills
- Commuter assistance
- Health insurance
Quick Apply
Risk and Compliance Analyst
SOSi —Remote
- Full-time
- Remote
- PMP
- 5 years
- Engineering
Quick Apply
Director of Compliance
First Help Financial —Remote
- $140,000 a year
- Full-time
- Remote
- Finance
- Bachelor's degree
- Business Administration
- Paid parental leave
- Health insurance
Quick Apply
Coding and Compliance Auditor
South Shore Health —Weymouth, MA
- $73,000 - $104,400 a year
- Full-time
- Hybrid work
- 5 years
- Mid-level
- Acute care experience
Manager Trade Compliance
SMC Corporation of America —Noblesville, IN
- Full-time
- Microsoft Word
- Background check
- Microsoft Access
- Health insurance
- Dental insurance
Quick Apply
Home Care Compliance Manager
Tailored Care, LLC —Brunswick, ME
- $26 - $30 an hour
- Part-time
- Background check
- Google Workspace
- Computer literacy
- Flexible schedule
Quick Apply
Licensed Customs Broker & Contract Compliance Specialist
MRCOOL, LLC —Hickory, KY
- Temporary
- 5 years
- Office
- In-person
Quick Apply
Director & Assistant General Counsel - Corporate Governance
Family Dollar —Chesapeake, VA
- Full-time
- 7 years
- Office
- Finance
Regulatory Compliance Specialist
Eddy Foods —Yoakum, TX
- $0.01 - $35.00 an hour
- Full-time
- Microsoft Outlook
- English
- Mid-level
- Health insurance
- Dental insurance
Quick Apply
Corporate Counsel
Security Finance —Spartanburg, SC
- Full-time
- Hybrid work
- Background check
- Spanish
- Writing skills
- Paid holidays
- Health insurance
Quick Apply
Senior Compliance Officer
Concorde Investment Services —Boca Raton, FL
- $105,000 - $120,000 a year
- Full-time
- Management
- Office
- Continuous improvement
- Health savings account
- Health insurance
Quick Apply
External financial statement auditor
Confidential —Pryor, OK
- $60,000 - $75,000 a year
- Full-time
- CPA
- 5 years
- Office
- Tuition reimbursement
- Paid time off
Quick Apply
Compliance Officer / Loan Administration Officer (5 yrs experience required)
Farmers State Bank Pine Bluffs —Pine Bluffs, WY
- Full-time
- Microsoft Excel
- Microsoft Outlook
- Office
- Disability insurance
- Health insurance
Quick Apply
9d
Compliance Analyst
Trustmont Group —Greensburg, PA
- Full-time
- Mid-level
- Office
- Analysis skills
- Health insurance
- Dental insurance
Quick Apply
Sales Support & Compliance
Ag Performance —Buffalo Center, IA
- $22 - $25 an hour
- Full-time
- Microsoft Excel
- Customer service
- Office
- Health insurance
- Paid time off
Quick Apply
Compliance/Operations Principal
Innovation Partners, LLC —Charlotte, NC
- $76,000 - $95,000 a year
- Full-time
- Bachelor of Science
- Office
- Bachelor's degree
- Health savings account
- Relocation assistance
Quick Apply
Of Counsel - Labor & Employment Attorney
O'Hagan Meyer —Los Angeles, CA
- $190,000 - $250,000 a year
- Full-time
- Writing skills
- Senior level
- Paid parental leave
- Health insurance
Quick Apply
Senior Regulatory Compliance Specialist
Indiana Farmers Insurance —Indianapolis, IN
- Full-time
- Hybrid work
- Mid-level
- 3 years
- Finance
- Free parking
- Disability insurance
BSA Officer
Woodlands National Bank —Onamia, MN
- $28 - $38 an hour
- Full-time
- Background check
- Mid-level
- Office
- Health insurance
- Dental insurance
Quick Apply
6d

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Compliance Examiner

DEXIAN -
Remote

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Job Details

Full-time
$80,000 - $85,000 a year
4 days ago

Qualifications

Investment
High school diploma or GED
Series 7
Bachelor's degree
FINRA License
Productivity software
Technical Proficiency
Experience at securities companies
Series 63
Financial markets knowledge

Full Job Description

Summary:

Client is currently seeking a Sr. Branch Office Examiner in our Branch Exam department. This is an outstanding opportunity to provide influential guidance and oversight of Branch Exams to Financial Advisors affiliated with Client Broker Dealers. Our employees are the “how” and the “why” of client’s success. This position is responsible for administering Branch Exams to Financial Advisors affiliated with Client Broker Dealers. The branch exams involve independently inspecting and evaluating branch activities to assess and/or monitor compliance of applicable regulations and to ensure adherence to compliance of all applicable regulations.

Education Requirements:

High School diploma or equivalent required
Bachelor’s degree preferred.

Responsibilities:

Conduct approximately 85-100 exams per year either onsite or remotely, if applicable.
Travel independently up to 50% of the time for onsite branch examinations.
Schedule and discuss exam expectations with the OSJ and Satellite branches.
Prepare for each exam by generating and analyzing various reports.
Review exam findings with OSJ and Satellite Branch Managers.
Send exam reports to OSJ and Satellite Branch Managers, Supervision and Compliance departments in a timely manner.
Educate OSJ Managers, Financial Advisors and support staff on various industry rules, regulations, and firm policies during the exam.
Identify and share best practices with OSJ Managers regarding supervisory systems during the exam.
Perform “for cause” exams as needed.
Mentor and train Junior team members.
All other duties as assigned

Basic Requirements:

3-5 years’ experience as a Branch Examiner in the Independent Broker-Dealer Channel.
FINRA series 7 and 24 (or 9/10) licenses are required.
Knowledge of the retail brokerage business, fee based advisory business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds.
Strong verbal and written communications skills required.
Basic proficiency for information technology and skills used to communicate electronically, organize activities and analyze information. Proficiency in MS Office.
Must be detail-oriented, investigative and the ability to work independently.

Preferred Requirements:

Experience with Independent Broker-Dealers a plus.
FINRA Series 63 and/ or 66 preferred.

Dexian is a leading provider of staffing, IT, and workforce solutions with over 12,000 employees and 70 locations worldwide. As one of the largest IT staffing companies and the 2nd largest minority-owned staffing company in the U.S., Dexian was formed in 2023 through the merger of DISYS and Signature Consultants. Combining the best elements of its core companies, Dexian's platform connects talent, technology, and organizations to produce game-changing results that help everyone achieve their ambitions and goals. Dexian's brands include Dexian DISYS, Dexian Signature Consultants, Dexian Government Solutions, Dexian Talent Development and Dexian IT Solutions. Visit https://dexian.com/ to learn more. Dexian is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status.

Pay: $80,000.00 - $85,000.00 per year

Work Location: Remote

Quick Apply

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compliance jobs

Compliance Examiner

Compliance Analyst

Risk and Compliance Analyst

Director of Compliance

Coding and Compliance Auditor

Manager Trade Compliance

Home Care Compliance Manager

Licensed Customs Broker & Contract Compliance Specialist

Director & Assistant General Counsel - Corporate Governance

Regulatory Compliance Specialist

Corporate Counsel

Senior Compliance Officer

External financial statement auditor

Compliance Officer / Loan Administration Officer (5 yrs experience required)

Compliance Analyst

Sales Support & Compliance

Compliance/Operations Principal

Of Counsel - Labor & Employment Attorney

Senior Regulatory Compliance Specialist

BSA Officer

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