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sr compliance advisor jobs

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First Citizens Bank - Wilmington, NC

Senior Financial Advisor. Maintains all compliance standards. Senior Financial Advisors present and sell non-traditional (non-FDIC insured) investments to mass...

CliftonLarsonAllen - Lexington, MA

Investment advisory services are offered through CliftonLarsonAllen Wealth Advisors, LLC, an SEC-registered investment advisor....

Anitian - Portland, OR

We are seeking a Senior Security Auditor (we use the title Security Intelligence Advisor) to join our risk and compliance team....

Barclay Simpson - San Francisco, CA

Chief Compliance Officer. Strong knowledge of the 1940 Advisors Act and 1933 Act are required and ideally we looking for a compliance professional with a record...

U.S. Securities and Exchange Commission - Chicago, IL

The Office of Compliance Inspections and Examinations ("OCIE"). The Compliance Inspections and Examinations program conducts inspections to foster compliance...

CliftonLarsonAllen - Phoenix, AZ

Compliance audits conducted under GAGAS for Single Audit or Yellow Book a plus. Investment advisory services are offered through CliftonLarsonAllen Wealth...

RAYMOND JAMES FINANCIAL - Tampa, FL

Under administrative direction, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to ensure...

CliftonLarsonAllen - Lexington, MA

Investment advisory services are offered through CliftonLarsonAllen Wealth Advisors, LLC, an SEC-registered investment advisor....

RAYMOND JAMES FINANCIAL - Tampa, FL

Concepts, practices and procedures of securities industry and/or banking compliance reviews. Inform senior management about issues that may involve rule...

Wolf & Company, PC - Boston, MA

Reviews compliance related policies and procedures for compliance with regulatory requirements and sound practices. Risk Management or Bank Compliance :....


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