Compliance Advisor Jobs

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Sr. Compliance Officer, Registerd Investment Advisor  

PRESCOTT PARTNERS, LLC - Sandy Springs, GA, United States

Well-established Atlanta based SEC Registered Investment Advisor y firm founded more than 14 years ago is looking to hire a Sr. Compliance Officer . to join our family and work with a dedicated team

from: linkedin.com - 5 days ago

Wealth Management Associate  

Equitable Advisors - New York, NY, United States

laws. NOTE: Equitable participates in the E-Verify program. NOTE: Due to company compliance guidelines, Equitable Advisors is unable to provide any sponsorship for its Wealth Management Associate

from: linkedin.com - Yesterday

Principal Quality Compliance Advisor  

Boston Scientific - Arden Hills, MN, US

be supported in progressing – whatever your ambitions. About the role: The Quality Principal Compliance Advisor will be part of our growing Global Capital Equipment Quality Assurance team supporting BSC’s high

from: Boston Scientific - 2 days ago

Legal Officer of Regulatory Compliance & Wealth Management  

Integrity Marketing Group LLC - Dallas, TX, United States

-dealer and registered investment advisors and how those relate to and potentially impact the firm with the ability to analyze potential compliance challenges and develop actions plans to respond to them

from: linkedin.com - Yesterday

Compliance Associate  

GCM Grosvenor - Chicago, IL, United States

(broker-dealer, investment adviser, etc.), regulatory body (FINRA, SEC, other SRO) or at a compliance consultant or law firm dealing with broker-dealer, investment advisor, and AML matters. Understanding

from: linkedin.com - Yesterday

Financial Advisor/Wealth Manager - Jacksonville, FL  

Florida Financial Advisors - Jacksonville, FL, United States (+2 locations)

, marketing techniques, consultative selling, client service, and regulatory compliance Uncapped earning potential – advisors can make $100,000+ in their first year; advisors must be comfortable

from: linkedin.com - 2 days ago

Director- Equity Capital Markets Compliance Advisor  

BNP Paribas - New York, NY, United States

Identify regulatory trends and developments, advising business staff as to how this may affect their current activities and work with...

from: linkedin.com - 22 days ago

Financial Controller  

Boulo Solutions - Houston, TX, United States

. Coordinate with external tax advisors to prepare and file tax returns and manage tax audits. Audit and Compliance: Coordinate with external auditors to facilitate annual audits and reviews. Ensure compliance

from: linkedin.com - 5 days ago

Administrative Assistant - Insurance and Financial Services  

TalentLink Solutions - Reno, NV, United States

to office & maintain monthly calendar Attend all compliance training Maintain all licenses for State and Federal Securities Law; Licensing renewals and new applications, CE credits monitoring for all advisors

from: linkedin.com - 5 days ago

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Compliance Analyst  

Boston Partners Global Investors, Inc. - Boston, MA, United States

Position: Compliance Analyst Department: Compliance Report to: Sr. Compliance Manager Location: Boston Company Summary: Boston Partners is a global investment advisor with $95 billion in AUM

from: linkedin.com - 5 days ago


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