Marketing Compliance Lead: Regulatory Review
Associate Staffing
Associate Staffing, a leading financial services firm in Fort Mill, SC, is seeking a Supervisory Principal to ensure compliance of marketing and communication materials. The ideal candidate has a minimum of 2 years licensed experience and holds FINRA certifications. This role involves reviewing advisors' marketing materials while guiding compliance with industry regulations. The company offers an inclusive environment and welcomes diverse applicants. #J-18808-Ljbffr Associate Staffing
- ...Supervisory Principal in Fort Mill, South Carolina. This role focuses on ensuring compliance of marketing and communication materials within the financial services industry. The ideal candidate will review materials for financial advisors and provide guidance on adherence to...Suggested
$155.94k - $259.87k
...usage and servicing, ongoing monitoring and compliance, retention, and ultimately compliant... ...data teams to ensure architectures support regulatory expectations, operational transparency,... ...design patterns, and decision records. Review and influence solution designs to ensure...RegulatoryContract work$115k - $125k
...candidates for a Corporate Trade Compliance Manager role. Our client is a... ...products across global markets. With a strong focus on growth... ...import operations while ensuring regulatory compliance. Key... ...Assist with audits, compliance reviews, and process improvement initiatives...Regulatory$75.29k - $125.45k
...Disclosures Management programs within the Compliance organization. This role is responsible... ...and analysis on business activities, regulatory changes, and industry practices to assess... ...examinations, internal audits, and compliance reviews by coordinating data gathering and...RegulatoryWork from home- ...Make an Impact The Antitrust & Compliance Counsel will serve as a... ...ensure alignment with evolving regulatory and enforcement priorities. Antitrust... ...initiatives, and new market entry. Support mergers, acquisitions... ...emerging regulations. Draft, review, and negotiate data...RegulatoryFor contractorsFixed term contractImmediate startVisa sponsorshipWork visaRelocation package
$20.85 - $34.71 per hour
Job Overview The Lead Operations Specialist is a key brokerage operations role within the... ...leveraging wide skill sets in the subject matter. Review accounts, perform reconciliations, and ensure compliance with corporate and regulatory policies and procedures; reconcile...RegulatoryHourly payWork experience placementWork at office$20.34 - $27.12 per hour
...entity backed by some of the leading practitioners of the mortgage... ...continuum and enhance security, compliance, customer satisfaction, and... ...compliant with investor, regulatory, and company requirements.... ...discrepancies, and disputes. Review accounts to ensure compliance...RegulatoryHourly payRemote work$75.29k - $125.45k
...Management programs within the Compliance organization. This role is... ...analysis on business activities, regulatory changes, and industry... ...internal audits, and compliance reviews by coordinating data gathering... ...financial guidance. As the nation's leading independent broker-dealer, we...RegulatoryWork from home- ...entity backed by some of the leading practitioners of the... ...continuum and enhance security, compliance, customer satisfaction, and... ...with statutory compliance, regulatory compliance, and company guidelines... ...vendors performance by reviewing system/database activities throughout...RegulatoryImmediate startRemote work
$113.34k - $155.85k
...rewardingcareer, we invite you to review our opportunities! Job... ...is that of Manager, SOX Compliance for Sunbelt Rentals ("the Company... ...500 rental stores across our markets and employs over 25,000 people... ..., COSO, and ICFR relevant regulatory updates. Process Improvement...RegulatoryFull timeTemporary workWork at officeFlexible hoursNight shiftWeekend work$73.9k - $98.5k
...entity backed by some of the leading practitioners of the mortgage... ...continuum and enhance security, compliance, customer satisfaction, and... ...GNMA, FNMA or FHLMC. Reviews investor remittance for accuracy... ..., external, investor, regulatory and state. Reviews payment...RegulatoryImmediate start$20.85 - $34.71 per hour
Job Overview The Lead Operations Specialist is a key role in brokerage operations acting... ...processes, serving as a trusted resource. Review accounts and perform reconciliations to ensure compliance with corporate and regulatory policies; reconcile suspense accounts and...RegulatoryHourly payWork experience placementWork at officeWork from home$78.38k - $130.71k
LPL Financial LLC is seeking a Senior Internal Auditor to participate in compliance-related internal audits and conduct process reviews. The successful candidate will lead audits, mentor junior staff, and ensure adherence to audit standards. With 3-6 years of relevant...- ...performance management. You will lead, coach, and develop a... ...regulations, including compliance controls, operational... ...A credit report may be reviewed (credit score not... ...risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes...RegulatoryWork experience placementInterim role
$20.85 - $34.71 per hour
...Lead Operations Specialist Where Ambition Meets Innovation Build a career that matches... ...skill set in the subject matter. Reviewing accounts and performing reconciliations to ensure compliance with corporate and regulatory policies and procedures; reconciling suspense...RegulatoryWork experience placementWork at officeWork from home$112.4k - $149.8k
...entity backed by some of the leading practitioners of the... ...continuum and enhance security, compliance, customer satisfaction, and... ...will specialize in drafting, reviewing, editing, and negotiating contracts... ...* Identify legal and regulatory risks in contractual arrangements...RegulatoryContract workWork at officeRemote work- ...expert rolled into one. You will lead a team of Customer Service... ...performance, and upholds regulatory excellence—ensuring every homeowner... ...in both service and compliance Provide ongoing coaching, side... ...concerns and process improvements. Review call trends, data, and...RegulatoryWork at officeFlexible hoursAfternoon shift
$26.88 - $35.82 per hour
...Operations Team Lead The Operations Team Lead supports the... ...ensure adherence to investor, regulatory, and company requirements. This... ..., negotiation, and compliance. Partner with leadership to... ...short sale, and deed in lieu. Review account activity, documentation...RegulatoryHourly payWork at officeMonday to Friday$20 per hour
...complete service requests Maintain compliance with regulatory requirements and internal policies... ...TEKsystems Global Services We’re a leading provider of business and technology services... ...you acknowledge and agree that your application may be reviewed using AI tools....RegulatoryContract workTemporary workRemote workMonday to FridayShift work$24.42 - $32.56 per hour
...Collections Team Lead The Collections Team Lead supports the daily operations... ...process improvements, and ensuring compliance with investor, regulatory, and company standards. The Team... ...systems, and compliance requirements. Review and maintain detailed account...RegulatoryMonday to Friday- ...combination of transaction processing, report review, client interaction, and problem-solving... ...a high level of accuracy and compliance. Cash Management Operations Process... ...in accordance with company policies and regulatory requirements. Client & Team Support...RegulatoryContract work
- ...Functions The Corporate Trade Compliance Manager is key in ensuring... ...agencies regulations as required. Lead the development and... ...laws and regulations, monitor regulatory reforms, and advise on their... ...changes in regulations. Manage, review and action inquiries and questions...RegulatoryTemporary workWork at officeWork from homeHome officeFlexible hours
$80.86k - $134.83k
...impact the business. Responsibilities: Lead evaluations and documentation of processes... ...control deficiencies Execute risk-based reviews and control testing programs including financial, compliance and regulatory components and develop recommendations for improvements...RegulatoryWork from home$143.32k - $273.93k
...or risk management. * Reviews laws and regulations to... ...Management, etc. * Leads a project team on complex... ...with risk and compliance policies and procedures... ...Experience working with regulatory and accounting frameworks... ...process for assessing market data and establishing...RegulatoryH1bWork at officeRemote workRelocation packageFlexible hours- ...entity backed by some of the leading practitioners of the mortgage... ...continuum and enhance security, compliance, customer satisfaction, and... ...with advanced research, regulatory/high risk exposure complaints... ...portal responses and quality review. Monitor and triage Google/social...RegulatoryWork at office
$75.38k - $100.48k
...entity backed by some of the leading practitioners of the... ...continuum and enhance security, compliance, customer satisfaction, and... ...with statutory compliance, regulatory compliance, and company guidelines... ...vendors performance by reviewing all proceedings, records and...RegulatoryRemote job- ...Supervisory Principal role is focused on ensuring marketing, advertisement, and communications... ...firm policies. This position involves reviewing marketing materials for financial advisors joining and providing guidance on compliance. Qualifications: Licenses/...Regulatory
$104.96k - $175k
...Committee Governance role will be part of the LPL Program Compliance team and serve as the secretary of the Regulatory Compliance Risk Committee (RCRC) and New Offerings... ...monitoring across investment product types. Lead the planning and execution of a comprehensive roadmap...RegulatoryWork experience placement- First American seeks a Customer Advocacy Lead in Fort Mill, SC, to manage escalated cases and enhance regulatory compliance. This role requires over 8 years of mortgage servicing experience, along with strong analytical and communication skills. As a key support resource...Regulatory
- A leading global provider of water and hygiene solutions is seeking a Staff Scientist for Peracetic Acid (PAA) Formulation. This... ...the development and optimization of PAA products, ensuring regulatory compliance, safety, and performance in various applications. Ideal candidates...Regulatory
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