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Compliance Branch Examination ManagerMichael Page International - New York, NYThe Compliance Branch Examinations Manager will be responsible for leading a team of examiners. The day to day responsibilities will be as follows: Branch exams Internal controls testing AML testing Internal Audits Review of Sales Literature Regulatory Exams Policies and procedures Training The Compliance Branch Examinations Manager will be have met the following requirements: Bachelors degree is required 7-10 years experience in Branch examination or compliance audit function. Strong knowledge of NASD and SEC rules and regulations Series 24 is preferred Must be flexible for travel... See job listing >30+ days ago from Michael Page International - Save - Block - Flag - More Tools...
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Compliance Branch Examination jobs in New York, NY
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Compliance Officer - Monitoring and InspectionsDeutsche Bank - New York, NYDeutsche Banks integrity and reputation. Compliance Officer Securities Monitoring, ... Assist in the planning and conducting of compliance inspections of branch offices,...16 days ago from Deutsche Bank - Save - Block - Flag - More Tools...
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CSE ExaminerFinra - New York, NYforFOCUS Supplementary Schedule reporting, compliance with the SEA Rule 15c3-1(Appendix ... offered to newer staff members. Presents examination-related matters to colleagues...30+ days ago from Jobirn - Save - Block - Flag - More Tools...
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Managing Surveillance DirectorFinra - New York, NYDisposition Reports, ACATS monitoring, examination milestones, audit reports, ... for the examination staff prior to the examination start dates. * Monitoring and...12 days ago from Jobfox - Save - Block - Flag - More Tools...
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Regulatory CoordinatorFinra - New York, NYguidelines. * Prepare risk-based examination planning packages of assigned ... compliance. * Strong written and verbal communication skills. * Working...8 minutes ago from The Wall Street Journal - Save - Block - Flag - More Tools...
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- Job Summary | Also found at: The Wall Street Journal
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Michael Page International jobs
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VP of Sales & MarketingMichael Page International - New York, NYAbout the company : Market leading search marketing agency Job description : My client is looking for a VP of Sales and Marketing responsible for providing leadership and...2 days ago from TheLadders.com - Save - Block - Flag - More Tools...
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Planned Giving CounselMichael Page International - New York, NY100,000 plus benefits.To apply directly for this position please forward a detailed resume along with current salary, in strict confidence by applying on the Michael Page website...30+ days ago from TheLadders.com - Save - Block - Flag - More Tools...
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Counsel - Compliance - HealthcareMichael Page International - New York, NYlent benefits package.To apply directly for this position please forward a detailed resume along with current salary, in strict confidence by applying on the Michael Page website...30+ days ago from TheLadders.com - Save - Block - Flag - More Tools...
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Real Estate Attorney / Director of Business DevelopmentMichael Page International - New York, NYetc. included as well.To apply directly for this position please forward a detailed resume along with current salary, in strict confidence by applying on the Michael Page website...30+ days ago from TheLadders.com - Save - Block - Flag - More Tools...
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