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Elevance Health
Memphis
**Data Protection Engineer** **Location:** This position will work a hybrid model (remote & office). The ideal candidate will live within 50 miles of one of our Elevance Health PulsePoint office locations. The **Data Protection Engineer** supports the Data Protection and Monitoring Services (DPMS) team and has experience with various data structure
Job Source: Elevance HealthElevance Health
Memphis, TN, United States
Data Protection Engineer Location: This position will work a hybrid model (remote & office). The ideal candidate will live within 50 miles of one of our Elevance Health PulsePoint office locations. The Data Protection Engineer supports the Data Protection and Monitoring Services (DPMS) team and has experience with various data structures, data
Job Source: Elevance Health7G 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 ManagementKPMG
Memphis
**Business Title:** Sr. Associate, Security Monitoring & Response **Requisition Number:** 112084 - 84 **Function:** Business Support Services **Area of Interest:** **State:** TN **City:** Memphis **Description:** Known for being a great place to work and build a career, KPMG provides audit, tax and advisory services for organizations in today's mos
Job Source: KPMGElevance Health
Memphis, TN, United States
FedRAMP SOC Analyst Location: This position will work a hybrid model (remote & office). The ideal candidate will live within 50 miles of one of our Elevance Health PulsePoint locations. The FedRAMP SOC Analyst will be responsible for providing the first line of defense against cyber threats. Your core focus will be cybersecurity operations, incid
Job Source: Elevance HealthRaymond James Financial Services
Memphis, TN, United States
Description Job Summary: Under limited supervision, uses specialized knowledge and skills obtained through experience, specialized training or certification to detect possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Lead and support associates during functional reviews and provide advanced
Job Source: Raymond James Financial ServicesEnvolve Inc
Memphis, TN, United States
Envolve Client Services Group owns and professionally manages apartment communities located throughout the southeastern United States. We are a company whose success is measured by our residents' satisfaction in making their apartment homes and community a great place to be. Envolve offers a wide variety of opportunities from residential apartment
Job Source: Envolve IncDepartment Of The Treasury
Memphis, TN, United States
Duties WHAT IS THE TAXPAYER SERVICES (TS)DIVISION? A description of the business units can be found at: https://www.jobs.irs.gov/about/who/business-divisions Vacancies will be filled in the following specialty areas: Taxpayer Services Return Integrity and Compliance Services The following are the duties of this position at the full working lev
Job Source: Department Of The TreasuryMemphis, 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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