Home | Links | Contact Us | Press | Post a job | Bookmark
Search jobs:
Home Financial Services COMPLIANCE-OFFICER

 Margin / Cashiering Associate
Our client, a subsidiary of a large insurance company, is seeking a Margin / Cashiering Associate ...


 Customer Service Representative
CUSTOMER SERVICE REPRESENTATIVE Tarrytown regional office of Mutual of America Life Insurance Co. ...


 Operations Service Rep
"Citigroup's story is well known - the first financial services company in the United States to ...


 Professional – Investor Services
Functional Area: Portfolio Management Position Title: Professional ? Investor Services J...


 Director - Editorial Services
Always seeking the best qualified? New York Life, a major life insurance Company and a leader in ...


 AVP - Agency Intranet Communications
Always seeking the best qualified? New York Life, a major life insurance Company and a leader in ...


 Manager, Applications
Financial Services To manage people, budgets, expenses, processes and tools to align and ...


 Experienced Financial Advisor for Expanding Office in Charlotte, NC
Are you searching for that unique combination of a satisfying career that rewards you for your ...


 Highly Motivated Internal Account Executives
Nationally Recognized Wholesale Mortgage Lender Seeks Highly Motivated Internal Account Executives ...


 Hcfg Prod Mgr 1
Job Description: Lead and manage escrow administration (real estate tax and insurance operations) ...


 COMPLIANCE OFFICER

Details
Country: USA
Location: NY White Plains
Total applied: 40

Relevant Work Experience: 2+ to 5 Years
Career Level: Manager (Manager/Supervisor of Staff)
Education Level: Bachelor's Degree
Job Type: Employee
Job Status: Full Time
Job Shift: First Shift (Day)
Salary: From 80,000.00 to 90,000.00 USD per year

COMPLIANCE OFFICER

The United States subsidiary of a major international financial institution is seeking a compliance officer with 2-4 years of experience.  The financial institution has a current market cap of $1.4 billion and employs 4,400 employees in 82 cities throughout the world.  The US subsidiary is an NASD registered broker dealer based in White Plains, New York and focuses on equity sales and research for institutional investors and high net-worth clients.

 

Our ideal candidate has a B.A. and 2-4 years experience in all NASD and SEC regulatory requirements, including but not limited to:

 Maintaining supervisory procedures Daily compliance reviews NASD advertising regulations and filings Web CRD system/ registration filings trade review and surveillance

 

Competitive compensation and bonus will be offered.  Qualified candidates should email resume to Michael Lord at michael@mlordco.com for immediate, confidential consideration.

 

- Apply for COMPLIANCE OFFICER

Your email:
Friend email:

Related jobs
  Compliance Associate/Paralegal Financial Services Harrison, NY
TO APPLY TO THIS JOB PLEASE VISIT OUR WEBSITE AT...
  PERFORMANCE MEASUREMENT ANALYST
PERFORMANCE MEASUREMENT ANALYST Leading investment service firm seeks applicants for Performance Measurement Analyst. This position requires finance or mathematics ...
  Accounting and Performance investigations
Functional Area: Operations Position Title: Accounting and Performance investigations Position Location: New York-Westchester City Position is Located: West Chester P...
  Program Manager, Franchise Management
MasterCard International Major Accountabilities: ' Provide business knowledge and technical support for business requirements, development, and end-user support ' P...
  Sr. Professional, Financial Systems
MasterCard International PRIMARY JOB RESPONSIBILITIES: Manage ongoing priorities, enhancements and projects related to the usage of Oracle applications and ...
  Sr. Account Executive, Inside Sales Team Leader
Description: Direct all activities of the assigned Vendor Markets Inside Sales Team in order to achieve the businesses new business volume and profitability targets. I...
  COMPLIANCE SPECIALIST
Primary responsibilities:  Perform pension compliance tests for both Defined Contribution and Defined Benefit plans, preparation of IRS Form 5500s and audit ...
  Softaware Manager/Engineer
JOB DESCRIPTION Job Title: Software Manager/Principal Engineer Reports to: Senior Director, Technology Direct Reports: Project Lead, Senior S...
  Westchester Floating Teller
Job Purpose: Serves customers by completing account transactions. Duties: * Provides account services to customers by receiving deposits and loan payments; cashing ...
  Loan Booking Supervisor
Job Purpose: Supports commercial loan operations by inputting and processing information. Duties: * Processes commercial loan payments by verifying and batching ...

Related press releases
Rate cut fails to lift property prices
The Nationwide said yesterday the average house price fell 0.2% last month, reversing July's gain and dragging the annual rate of growth down to just 2.3%, the weakest fo...
Glamorgan sink at rate of Notts
Glamorgan's reversion to type suited Nottinghamshire just fine. A first championship win of the season last week has done little for batting confidence and submission her...
Graduate unemployment higher than national rate
Almost three-quarters of last year's graduates have got jobs, but unemployment among this group is higher than the national rate, according to official figures. The surv...
I can see the injury rate to horses rising with inexperienced teams of handlers
The stalls handler The immediate future looks bleak for the RaceTech team of stalls handlers following Arena Leisure's decision to introduce an in-house operation. ...
Rethink on pub hours urged as death rate soars
The drinking habits of the British are taking an increasing toll on their lives, according to figures showing that alcohol-related deaths soared in the past five years by...
Interest rate cut lifts housing market gloom
The worst may be over for the British housing market, according to the latest report from the Royal Institution of Chartered Surveyors, although house sales are still dow...
Falling birth rate threatens closure of primary schools
Schools are facing closure because of falling pupil numbers, driven by the shrinking birth rate among young British women. The consequences of social change in the 'Bri...
Mortality rate at record low
The death rate in England and Wales fell to a record low last year and the birth rate was the highest for 10 years, according to figures released yesterday by the Office ...
Plaid pledges 50% top-rate tax
The Welsh nationalist Plaid Cymru today became the last of the major parties to launch its 2005 election manifesto, pledging a 50% tax on earnings over £50,000. The...
Alert over premium rate calls
The telecoms regulator responsible for premium rate phone lines is warning phone users to ignore messages over Easter promising those returning the call cash prizes or fr...
0.004

Archive: All jobs - Links - Job Search Engines - Medical Encyclopedia

Copyright (c)2006 Eofhr.org/jobs - All rights reserved