Regulatory Compliance Assistant Jobs in Mount Kisco

Insurance Paralegal/Compliance Analyst The candidate will research laws and regulations by reviewing various sources of legal information, Compile information from internal and external sources and develop matrices and overviews. Prepare reports ..

Legal Assistant The candidate will perform duties: ... candidate will perform duties: handle regulatory filings, corporate board work and ... the parent company and other regulatory filings for licensed entities...

... looking to hire a Senior Compliance Analyst at the Chicago Office. ... Analysts will report to a Compliance Manager and will assist with ... summarizing data and trends. Preparing..

Compliance Specialist, Mortgage Duties: Assist clients in implementing policies and procedures in compliance with various federal regulations and agency guidelines, including TRID, HMDA, TILA, UDAAP, Qualified Mortgage Rules, HUD FHA Mortgagee ..

... Governance efforts. Responsibilities The Senior Compliance Data Analyst’s primary focus will ... focus on data leveraged by Compliance Collaborate with technical and business ... destination data maps for AML..

Ethics and Compliance Counsel Duties: The candidate will ... carry out all ethics and compliance responsibilities that are delegated. Oversee ... for inquiries regarding ethics and compliance. Where appropriate, own..

... is looking for an experienced Compliance Analyst with 5 years of ... years of experience in a compliance role, preferably in the commodities ... position is responsible for handling..

... is looking for an experienced Compliance Analyst with 5 years of ... years of experience in a compliance role, preferably in the commodities ... position is responsible for handling..

... for a motivated and talented compliance analyst who is familiar with ... has appropriate experience at a regulatory agency, exchange or law firm. ... for someone with experience in..

... a full-time remote Quality Assurance Compliance Analyst who resides in New ... report to a Quality Assurance Compliance Manager in our Chicago Office ... trends. Conduce quality assurance on..

... The Margin Analyst helps ensure regulatory compliance with the margin rules (e.g., ... formed group in the Financial Regulatory team at Interactive Brokers, so ... requirements are accurate and..

Job Description The Deputy of Compliance Technology position requires knowledge and ... knowledge and skills regarding non-financial regulatory reporting obligations of brokers and ... systems to comply with these regulatory..

... for a motivated and talented compliance officer who is familiar with ... familiar with securities and commodities regulatory issues and has appropriate experience ... has appropriate experience at a..

... is looking to hire a Compliance Analyst at the Chicago or ... report to the Financial Advisor Compliance Team Lead and will assist ... of the firm’s financial advisor..

... is looking to hire a Compliance Analyst at the Chicago or ... to the Financial Advisor (“FA”) Compliance Team Lead and will assist ... of the firm’s financial advisor..

... Auditor , you will perform compliance, financial and operational audits for ... global brokerage entities, focusing on regulatory reporting audits. Key Responsibilities Conduct ... regulated brokerage entities to ensure..

... for a motivated and talented compliance officer who is familiar with ... familiar with securities and commodities regulatory issues and has appropriate experience ... has appropriate experience at a..

... and commodities, and experience with compliance, internal controls and risk management. ... risk management. Responsibilities The Senior Compliance Analyst’s primary focus will be ... focus will be to: Support..

... and commodities, and experience with compliance, internal controls and risk management. ... and risk management. Responsibilities The Compliance Officer’s primary focus will be ... focus will be to: Provide..

... for a motivated and talented compliance analyst who has experience with ... Responsibilities: Supporting the Public Communications Compliance group Reviewing, approving, and archiving ... comply with firm policies and..

... is looking for an experienced Compliance professional with a background in ... professional with a background in regulatory reporting including such systems as: ... to identify and research potential..

... seeks a motivated and talented compliance officer familiar with electronic trading ... will be the firm’s lead compliance officer in key areas, including ... each of these topics, the..

... for a motivated and talented compliance officer who is familiar with ... familiar with securities and commodities regulatory issues and has appropriate experience ... has appropriate experience at a..