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Prairie Farms Dairy
Memphis, TN, United States
Who we are: CyberArk (NASDAQ: CYBR) is the global leader in Identity Security. Centered on privileged access management, CyberArk provides the most comprehensive security offering for any identity - human or machine - across business applications, distributed workforces, hybrid cloud workloads and throughout the DevOps lifecycle. The world's leadi
Job Source: Prairie Farms Dairy7G Environmental Compliance Management
Memphis
Job Description Job Description Our Company At 7G, we're the go-to partner for petroleum tank owners across the country. We tackle environmental challenges while consistently keeping things compliant. Our values are simple: excellence, accountability, and integrity. We're leaders in our industry, and we're looking for dedicated folks to join our c
Job Source: 7G Environmental Compliance ManagementAutoZone, Inc.
Memphis, TN, United States
Summary: AutoZone is looking for a Privacy and Data Security Professional who has an understanding of privacy, governance, and assessment of enterprise portfolio management, cybersecurity, regulatory, vendor management, and data management. This person will be responsible for the execution, and delivery of ITGRC programs to mature the Summary: A
Job Source: AutoZone, Inc.Evolve
Memphis, TN, United States
Job Description: The Chief Compliance Officer is responsible for the Bank's Compliance program including development, implementation and reporting for the Bank's Compliance Management System. With direct responsibility for a team of compliance professionals, the incumbent plans, organizes, and directs the Bank's day to day administration of policy
Job Source: EvolveElevance Health
Memphis, TN, United States
WARNING: Please beware of phishing scams that solicit interviews or promote work-at-home opportunities, some of which may pose as legitimate companies. Elevance Health requires a completed online application for consideration of employment for any position. We will never ask you for a credit card, send you a check, or ask you for payment as part of
Job Source: Elevance HealthGetevolved
Memphis, TN, United States
The Chief Compliance Officer is responsible for the Bank’s Compliance program including development, implementation and reporting for the Bank’s Compliance Management System. With direct responsibility for a team of compliance professionals, the incumbent plans, organizes, and directs the Bank’s day to day administration of policy/procedure develop
Job Source: GetevolvedElevance Health
Memphis, TN, United States
WARNING: Please beware of phishing scams that solicit interviews or promote work-at-home opportunities, some of which may pose as legitimate companies. Elevance Health requires a completed online application for consideration of employment for any position. We will never ask you for a credit card, send you a check, or ask you for payment as part of
Job Source: Elevance HealthThe GEO Group
Memphis, TN, United States
Benefits Information: Benefits As a Case Manager, you will be part of a stable, established, and yet still growing organization with a great deal of diversification, which will present you with a range of different challenges. Since we do prefer to promote from within, you will have opportunities to move to other facilities as well as to different
Job Source: The GEO GroupMemphis, TN, United States
Compliance Associate
B. Riley Securities, Inc.
B. Riley Financial provides collaborative solutions tailored to fit the capital raising and business advisory needs of its clients and partners. B. Riley operates through several subsidiaries that offer a diverse range of complementary end-to-end capabilities spanning investment banking and institutional brokerage, private wealth and investment management, financial consulting, corporate restructuring, operations management, risk and compliance, due diligence, forensic accounting, litigation support, appraisal and valuation, auction and liquidation services. B. Riley Financial is headquartered in Los Angeles with offices across the U.S. as well as an international presence. For more information, please visit www.brileyfin.com .
B. Riley Securities provides a full suite of investment banking, corporate finance, advisory, research, and sales and trading services. Investment banking services include initial, secondary and follow-on offerings, institutional private placements, merger and acquisition (M&A) advisory, SPACs, corporate restructuring and recapitalization. B. Riley is nationally recognized and highly ranked for its proprietary small-cap equity research. B. Riley Securities formerly operated as B. Riley FBR following the merger of B. Riley & Co. and FBR & Co.
We are seeking a full-time Compliance Associate to work in our Memphis, Chicago, Arlington or Boca Raton office. The base salary for this position is $66,560.
The ideal candidate will be a self-starter who is detail oriented and has retail or institutional broker dealer experience. The candidate will be part of a team of compliance personnel servicing brokers and traders across the U.S. Emphasis on teamwork and collaboration is a must. Training and professional growth opportunities available for motivated candidates. This position will be located within the Compliance department at the firm’s headquarters office.
Duties of this position include, but are not limited to the following:
Assist with daily trade review and surveillance.
Maintain and update Firm’s Restricted and Watch List.
Review and preclear employee personal trade requests.
Conduct enhanced due diligence on new clients.
Prepare written correspondence to regulatory inquiries.
Support in the various testing of supervisory policies and procedures.
Prepare, organize, and file requisite documentation.
Perform other duties as assigned.
Education, Experience and Skills required :
Bachelor's degree in Finance, Business, or Economics preferred.
One to five years of experience in the brokerage industry and/or previous Compliance experience.
Securities Industry Essentials (SIE), and Series 7 preferred but training is available.
Knowledge of capital markets or asset management industry.
Attention to detail, comfortable working effectively under pressure in a rapidly changing environment.
Strong competency in utilizing MS Word, Excel, PowerPoint and Outlook.
Ability to organize and prioritize work without supervision.
Self-starter with willingness to learn and adapt to new and challenging tasks.
B. Riley Financial, Inc. employees enjoy competitive salaries, access to our 401(k) profit sharing retirement plan and our other benefits including paid holidays, vacation, and sick leave, voluntary group medical, dental, and vision insurance, and company paid life and disability coverage.
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Securities: Compliance Associate - Legal 61201 jobs in Memphis, TN, United States
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