Sr Trade Compliance Analyst - Charlotte, NC, United States

The Compliance Analyst will serve as a key member of LendingTree's Compliance team within the Legal department. This role requires a strong understanding of internal control frameworks, regulatory requirements, · Perform compliance testing and monitoring activities in accordance ...

The Compliance Analyst will serve as a key member of LendingTree's Compliance team within the Legal department. This role requires a strong understanding of internal control frameworks, regulatory requirements, · Perform compliance testing and monitoring activities in accordance ...

This role will support initiatives for California Consumer Privacy Act (CCPA) compliance for Client. Responsibilities include engagement of business and technical partners across all lines of business for remediation/integration into the Privacy Center. · Support identification a ...

The Compliance Analyst will support the organization's regulatory compliance program to ensure compliance activities are aligned with the strategic objectives, · risk appetite,and oversight expectations.Support third-party risk management activities including onboarding ongoing m ...

The Compliance Analyst will support the organization's regulatory compliance program to ensure compliance activities are aligned with the strategic objectives, risk appetite, and oversight expectations. · Support third-party risk management activities. · Evaluate vendor complianc ...

The Analyst, Compliance is responsible for auditing motor carrier contractor documentation and processes. Display competent communication and documentation skills regarding on-going auditing procedures as well as project management. · Maintain and improve the company's image, ens ...

The Compliance Analyst will support the organization's regulatory compliance program. This role requires a solid understanding of corporate governance principles. · Support third-party risk management activities. · Perform compliance due diligence and risk assessments. · ...

The Compliance Senior Analyst assists in the day-to-day transactions relating to compliance. The senior analyst will work with senior staff to ensure Dimensional remains compliant with all regulatory bodies and governing laws. · Review and analyze marketing and other firm communi ...

We are one of the fastest-growing companies in the U.S. and this may be your opportunity to join us. · This candidate will be working with Application teams to ensure around 900 applications are compliant by the end of the year · Process steps are already planned out/ documented- ...

Deriva Energy is a leading Independent Power Producer in the US renewables market, with over 6.5 GW of operating or under construction wind, solar and storage projects across the country. · Bachelor's degree in engineering or related field · Five (5) years or more work experience ...

The lead compliance analyst is responsible for ensuring that Deriva Energy complies with NERC requirements and adheres to its business processes. · ...

We are seeking an Investment Compliance Analyst to perform monitoring, · surveillance and testing work to comply with 1940 Company Act.Qualified individuals should have at least one year of experience in Compliance, · specially working with 1940 Act with regard to personal tradin ...

The Senior Compliance Analyst assists in the day-to-day transactions relating to compliance. The analyst will work with senior staff to ensure Dimensional remains compliant with all regulatory bodies and governing laws. · ResponsibilitiesAnalyze marketing and firm communications ...

The Compliance Analyst uses knowledge and skills to conduct onsite branch inspections and related compliance reviews. · This position is eligible to earn a base salary in the range of $57,000.00 annually. · ...

We want someone who will run towards solving the hardest problems of Coinbase. · ...

The Senior Compliance Analyst assists in the day-to-day transactions relating to compliance. The analyst will work with senior staff to ensure Dimensional remains compliant with all regulatory bodies and governing laws. · ...

We want someone who will run towards, not away from, solving the company's hardest problems. · Investigate and analyze manual referrals and automated alerts stemming from transaction monitoring systems · Conduct due diligence research and KYC reviews on transaction activities acr ...

The Lead Compliance Analyst is responsible to ensure, through a team of business leaders and subject matter experts, that Deriva Energy continually adheres to all NERC requirements and that its business processes reflect this adherence. · * Bachelor's degree in engineering or rel ...

The Lead Compliance Analyst is responsible to ensure that Deriva Energy continually adheres to all NERC requirements and that its business processes reflect this adherence. · ...

Ready to be pushed beyond what you think you're capable of? · We want someone who is passionate about our mission and who believes in the power of crypto and blockchain technology to update the financial system. · ...

The Distribution Compliance team provides compliance support to the Global Client Group sales efforts, administers the marketing and advertising compliance review program, and conducts surveillance and monitoring for the firm's social media program. · ...