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Compliance Examiner Jobs in Stamford CT

Results: 1 to 7
Confidential - New York, NY
Responsibilities:Conduct on-site compliance examinations and issue written reports of work conducted and results. Select the business unit and activity for examination based on a risk assessment, determine the regulations that apply to the business unit, develop the examination scope and objectives,...
National Futures Association - New York, NY
Compliance Examiner Description: A Compliance Examiner's main responsibility is to support NFA's regulatory programs through exams, investigations and financial surveillance of NFA Members. Common duties include on-site examinations of a Member's books and records and a...
Global Securities, Investment and Retail Banking Firm - New York, NY
The Global Compliance Exam Management team handles regulatory examinations conducted by a variety of banking and securities regulators, including the OCC, FRB, SEC, FINRA, CME, NFA, and State regulators. This position focuses on regulatory examinations by securities regulators of the Firm s institut...
McGraw Hill Financial - New York, NY
Position Description The Role: This position will be responsible for planning, executing and reporting compliance examinations of S&P operating units (S&P Ratings Services, S&P Cap IQ, S&P Dow Jones Indices) and affiliates primarily in the North American region, as well as globally, to assess compli...
Financial Industry Regulatory Authority - New York, NY
Title: Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinations (TFCE) Options- New York, NY Location: null Other Locations: null We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Examiner opening in New York, NY ...
FINRA - New York, NY
Compliance Examiner - Market Regulation, Trading Financial Compliance Examinations (TFCE) Options- New York, NY( Job Number: 003862) Description We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Exami...
Federal Reserve Bank - New York, NY
**Overview:** Consumer Compliance conducts examinations and specialized supervisory activities at state member banks, bank holding companies, and certain US Branches and agencies of foreign banks to determine compliance with consumer protection laws and regulations including the Community Reinvestme...