Compliance Specialist - eFinancialCareers

Compliance Specialist – eFinancialCareers Compliance Specialist – eFinancialCareers 3 days ago Be among the first 25 applicants Compliance Professional Regulatory Compliance and Financial Administrative Professionals for US and London based financial services entity. Compliance Professional Regulatory Compliance and Financial Administrative Professionals for US and London based financial services entity. We are seeking to add to our staff and several positions are open within a variety of skill sets and experience. These include: Part-time and full-time positions Administrative through senior positions Most are hybrid/WFH positions. Depending on the role applied for, past experience may include: Chief Compliance Officer and/or other financial regulatory licensing in either UK or US Financial and Operations Principals (FINOPs) with a US FINRA Series 27/28 Familiarity with FINRA, SEC, NFA, RIA and/or FCA regulatory compliance protocols, including AML Procedures, Written Supervisory Procedures, Business Continuity Plans and various regulatory filings such as Form CRS and Reg BI a plus Broker-dealer, investment firm, or Registered Investment Advisory experience a plus Past experience in a financial services entity such as a bank, securities firm or investment advisor For all positions, this is a client-facing role that requires being well-spoken with good telephone and writing skills Project management experience a plus Facility with MS Office software We have an office in the United States and London and this can be a hybrid/WFH position in either location. Positions based In the UK will be on a fixed term contract to start, with a contract extension and/or future permanent employment potential for the right individual(s). Positions based in the US, will primarily be WFH positions. We are particularly cognizant of parental schedules, provided the responsibilities are carried out; this position is perfect for parents returning to the workforce with prior financial services experience. Seniority level Seniority level Entry level Employment type Employment type Full-time Job function Job function Finance and Sales Referrals increase your chances of interviewing at Jobs via eFinancialCareers by 2x Sign in to set job alerts for “Compliance Specialist” roles. Counsel – Business & Legal Affairs, UK Scripted Series London, England, United Kingdom 2 days ago London, England, United Kingdom 4 days ago London, England, United Kingdom 2 weeks ago London, England, United Kingdom 2 weeks ago Greater London, England, United Kingdom 3 weeks ago London, England, United Kingdom 1 week ago London, England, United Kingdom 2 weeks ago City Of London, England, United Kingdom 5 days ago City Of London, England, United Kingdom 3 weeks ago London, England, United Kingdom 1 day ago London, England, United Kingdom 2 weeks ago City Of London, England, United Kingdom 1 week ago London, England, United Kingdom 2 days ago London, England, United Kingdom 1 day ago London, England, United Kingdom 2 months ago London, England, United Kingdom 1 week ago London, England, United Kingdom 22 hours ago Regulatory Compliance Manager (FinTech: PI/EMI) London, England, United Kingdom 4 weeks ago Sanctions & Screening Compliance Officer London, England, United Kingdom 2 days ago City Of London, England, United Kingdom £60,000.00-£74,000.00 1 week ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr