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Banking Compliance Attorney Jobs in Westminster

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SPONSORED JOB
Company
Reed Group, Ltd
Experience
Min 7 yrs required
Location
Westminster, CO
Posted Date
Mar 11,19
Info Source
Total Views
34
Corporate compliance Counsel The candidate will support... and policies. Achieves corporate compliance operations objectives. Will educate... and train on compliance policies and procedures. Will... perform risk assessments and conduct audits that... read more
Company
In-House
Experience
2-4 yrs required
Location
Denver, CO
Posted Date
Mar 15, 19
Info Source
Employer
Total Views
1
to Sales, Transfer Agent, Compliance and Marketing personnel in... sales personnel-related matters including compliance with SEC and FINRA... rules and supervisory procedures. Advising on limited-purpose broker-dealer matters. Advisory and mutual fund filings with the SEC, NFA, CFTC, including being responsible... read more
Company
In-House
Experience
Min 5 yrs required
Location
Denver, CO
Posted Date
Mar 16, 19
Info Source
Employer
Total Views
5
such, this position requires compliance with the S.A.F.E. Mortgage... Licensing Act of 2008 and all related regulations. Ongoing employment is contingent upon meeting all such requirements, including acceptable background investigation results. Individuals in a SAFE position also must meet the... read more
Company
Government
Experience
Min 9 yrs required
Location
Golden, CO
Posted Date
Mar 19, 19
Info Source
Employer
Total Views
9
HR Compliance Officer Level V The... on employee relations and compliance issues. Develops, designs, interprets... performance perspective. Ensures HR compliance with all existing governmental,... regulatory and labor legal and government reporting requirements including any related to the Equal Employment Opportunity... read more
Company
In-House
Experience
Min 10 yrs required
Location
Englewood, CO
Posted Date
Mar 16, 19
Info Source
Employer
Total Views
21
Director, BFS/ Insurance-Regulatory Attorney, Associate Counsel RESPONSIBILITIES: Establishing... and agreements to ensure compliance; Reading and understanding reports,... regulatory requirements; Supporting corporate compliance in the development and... monitoring/reporting activities to ensure compliance with all applicable regulations,... and Identifying and mitigating regulatory... read more
Company
In-House
Experience
10-12 yrs required
Location
Centennial, CO
Posted Date
Mar 15, 19
Info Source
Employer
Total Views
42
the Legal, Risk, and Compliance Departments responsible for firm’s... and brokerage regulatory and compliance requirements. Efficiently manage a... and non-legal representatives. Ensure contractual relationships and other interactions meet industry compliance and information security standards.... Review marketing, communications, and educational materials.... read more
Company
In-House
Experience
Min 5 yrs required
Location
Aurora, CO
Posted Date
Mar 16, 19
Info Source
Employer
Total Views
9
such, this position requires compliance with the S.A.F.E. Mortgage... Licensing Act of 2008 and all related regulations. Ongoing employment is contingent upon meeting all such requirements, including acceptable background investigation results. Individuals in a SAFE position also must meet the... read more
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