Principal Analyst, Advertising Compliance & Review
Dormont Manufacturing Co
Dormont Manufacturing Co in Rockville, Maryland is seeking an experienced individual to conduct reviews of communications with the public and ensure compliance with FINRA and SEC regulations. Responsibilities include mentoring staff and conducting complex reviews to maintain high quality in communications. The ideal candidate has a bachelor’s degree with five years of experience in the industry, strong analytical skills, and a thorough understanding of financial regulations. This role is hybrid with defined in-person requirements. #J-18808-Ljbffr Dormont Manufacturing Co
$96.6k - $130k
Job Overview Independently reviews communications with the public submitted by firms, ensuring compliance with FINRA, SEC, MSRB, and SIPC advertising rules and regulations. Responsibilities Mentor... ...of at least one year as a Senior Analyst in the Advertising Regulation...PrincipalWork experience placement$96.6k - $130k
Overview Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff... ...of at least one year as a Senior Analyst in the Advertising Regulation Department...PrincipalFull timeTemporary workFor contractorsWork experience placementFor subcontractorLocal areaImmediate start- ...Industry Regulatory Authority, Inc. seeks a compliance professional located in Rockville,... ...mentoring staff and performing complex reviews of communications with the public regarding... ...skills and strong knowledge of advertising rules. The position offers a hybrid work...Suggested
$96.6k - $172.8k
FINRA in Rockville, MD is seeking a Compliance Analyst to review communications with the public for adherence to advertising regulations set by FINRA, SEC, MSRB, and SIPC. The position involves mentoring staff, ensuring the quality of their work, and responding to inquiries...Suggested$120.8k - $137.9k
...with product owners, process managers, compliance advisors, legal counsel, auditors, and other... ...and consulting on effective challenge Review, analyze, assess risk, and document... ...location. McLean, VA: $120,800 - $137,900 for Principal Risk Specialist Richmond, VA: $109,900...PrincipalPermanent employmentFull timePart timeWork at officeLocal area$120.8k - $137.9k
Counterparty Risk Analyst Principal Associate As a Principal Risk Associate at Capital One you... ...in Finance or Accounting Experience reviewing financial statements Experience with... ...vet) committed to non‑discrimination in compliance with applicable federal, state, and local...PrincipalFull timePart timeLocal area$131.3k - $149.8k
Principal Risk Specialist, Tech & Cyber Risk As a Principal Associate of Tech & Cyber Risk... ...workflows. Metrics, Reporting & Compliance Monitor and analyze key risk metrics and... ...facilitate recurring risk forums (e.g., Metrics reviews) to ensure progress visibility and...PrincipalWork at officeLocal area$170k - $200k
AMERICAN SYSTEMS seeks an Operations Research Analyst in McLean, VA to develop and analyze Integrated Master Schedules for complex defense programs. The ideal candidate will have at least 10 years of experience in scheduling, with proficiency in Microsoft Project and expertise...Principal- A financial services company located in McLean, VA is seeking a Principal Risk Specialist to provide expertise in operational risk and support business partners in identifying risks. The ideal candidate will have a Bachelor's Degree and at least 2 years of experience in...Principal
- Capital One is looking for a Payments Governance Advisor, Principal Associate, to manage payments risk and governance in a hybrid role. You will partner with various stakeholders, influence risk strategies, and ensure adherence to payments standards. The ideal candidate...Principal
- Capital One is seeking a Principal Risk Associate in McLean, VA. This role involves managing counterparty credit risk for Payment Services partner relationships. Responsibilities include analyzing financial portfolios, innovating processes, and training team members. The...Principal
$120.8k - $137.9k
Capital One in McLean, VA is hiring a Principal Associate, Risk Specialist to manage the Anti-Bribery & Anti-Corruption Compliance Program. This role assists in developing enterprise-wide compliance strategies to navigate complex regulations and support risk management...Principal- A leading financial services firm in McLean, VA is seeking a Principal Risk Associate to identify and mitigate potential risks across partner relationships. The ideal candidate will conduct financial analyses and lead efforts to enhance risk management practices. Qualifications...Principal
$131.3k - $149.8k
A leading financial services company located in McLean, Virginia, is seeking a Principal Associate for Capital Markets & Risk. The successful candidate will be responsible for defining solutions to business problems while collaborating closely with Agile teams. Required...Principal$120.8k - $137.9k
Capital One National Association is seeking a Principal Analyst for its Finance Operations Payments team. The successful candidate will manage payment processes, mitigate operational risks, and develop procedural frameworks in a hybrid work setting. Responsibilities include...Principal- Capital One is looking for a Principal Associate, Risk and Compliance to join their Global Workplace Services team in McLean, Virginia. This role focuses on ensuring compliance with legal requirements and managing risk initiatives. The ideal candidate has a Bachelor's...Principal
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$131.3k - $149.8k
Principal Risk Associate, Tech & Cyber Risk | Retail Bank As a Principal Associate of Tech & Cyber Risk within Capital One’s Business... ...identification, assessment, and mitigation workflows. Metrics, Reporting & Compliance - Monitor and analyze risk metrics and dashboards, partner...PrincipalWork at officeLocal area$120.8k - $137.9k
As a Principal Risk Associate at Capital One you’ll be responsible for working with business partners to identify and mitigate potential... ...including disability/vet) committed to non‑discrimination in compliance with applicable federal, state, and local laws. Capital One...PrincipalFull timePart timeLocal area$92.5k - $120k
...expertise to deliver solutions over operational and regulatory compliance risks, supporting them in the areas of internal audit, internal... ...analytics and controls automation Forensic/investigative/internal review assistance (not to include litigation/expert witness services)...Work experience placementWork at officeLocal areaRemote work$117.3k - $133.9k
Principal, Risk Specialist Does the idea of working with and guiding professional, highly trained accountants, product, technology and... ...including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One promotes...PrincipalFull timePart timeLocal area$120.8k - $137.9k
Principal Risk Specialist - Operational Risk Challenge & Advisory Can you build relationships as well as develop and implement innovative... ...including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One...PrincipalFull timePart timeWork at officeLocal area$120.8k - $137.9k
Principal Associate, Risk Specialist Capital One’s Anti-Bribery & Anti-Corruption (ABAC) team is responsible for managing the company’s enterprise-wide ABAC Compliance Program, including compliance with the Foreign Corrupt Practices Act (FCPA), Bank Bribery Act (BBA), and...PrincipalFull timePart timeLocal area$120.8k - $137.9k
Principal Financial Analyst (Business Cards & Payments) We are seeking an analytic problem solver and detail-oriented team member to join our... ...including disability/vet) committed to non‑discrimination in compliance with applicable federal, state, and local laws. Capital...PrincipalFull timePart timeWork at officeLocal area$116.08k - $146.9k
...work environments. The Senior IT Business Analyst has the following responsibilities:... .... Absorbs complex information. Promotes compliance with relevant legislation and the need for... ...employment laws. For further information, please review the Know Your Rights notice from the...Full timeWork experience placementWork at officeWorldwide$127k - $139k
# Senior Business Analyst (Fleet)SignificanceFull TimeseniorHybridRockville, Maryland, USPosted... ...of fleet management. Additionally, will review business processes to help diagnose the... ...:* GSA SmartPay2 knowledge* Credit Card Compliance or Transit Program Policy experience*...Full timeWork at officeLocal area- * Define solutions (requirements, designs, services, recommendations) to business/systems problems* Liaison between tech and business SMEs to translate business requirements into highly specified project briefs* Partner with consumers, business SMEs, and source system teams...PrincipalFull timePart time
- ...lead floorplan audits across wholesale and retail dealer locations. The role involves physically verifying floor‑planned inventory, reviewing dealer records, and using an AI mobile audit application to document findings and assess risk. Essential Functions Verify in-stock...Work at officeLocal areaFlexible hoursNight shift
- ...personnel, unraveling audit results, and communicating with client representatives. Every day you'll flex your analytical muscles, reviewing and authenticating dealer records and other documents related to sold, missing, and damaged inventory units. But that's...Work at officeLocal areaImmediate startFlexible hoursNight shift
$131.3k - $149.8k
Principal Associate, Capital Markets & Risk - Systems Analyst The Treasury Systems & Business Solutions team, a department within Treasury that falls under Capital... .../vet) committed to non‑discrimination in compliance with applicable federal, state, and local laws. Capital...PrincipalFull timePart timeLocal area
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