Archive: Compliance Jobs in Maryland

Job Title	Company Name	Location	Posted Date
Marketing Compliance Analyst (Ref: 01539)	T. Rowe Price	Americas, United States Baltimore	05/06/2011
see details hide details PRIMARY PURPOSE OF THE POSITIONThis position will provide proactive consulting and marketing compliance support to Third Party Distribution ("TPD") internal stakeholders and strategic clients with respect to the development, production, and delivery execution of marketing collateral that supports TPD's distribution objectives. This position also serves as a central point of contact...
Compliance Officer, Senior (Ref: 2543242)	Legg Mason	Baltimore	05/06/2011
see details hide details As a leading global asset management firm, Legg Mason offers rewarding career opportunities for individuals who share our passion for investing, and our commitment to putting clients first in everything we do. Whether you have industry experience and are seeking new challenges or are just beginning your career, we invite...
Homeownership Advisor - Home Lending Default - Baltimore, MD (Ref: 110036093)	JP Morgan Chase	Americas, United States Baltimore	05/06/2011
see details hide details Home Ownership Advisors will be located in areas with high delinquency rates and will provide face to face advisory services to customers whose loans are delinquent or at high risk for delinquency. Advisory services will focus on assisting customers find solutions to maintain home ownership and, if not possible, discussing...
Lead Manager- Investment Compliance (Ref: 01533)	T. Rowe Price	Americas, United States Baltimore	05/03/2011
see details hide details PRIMARY PURPOSE OF THE POSITION Ensures the effective utilization of technology and automation in support of the firm's investment compliance monitoring program. Oversees and directs teams responsible for the development and maintenance of investment and trading restrictions, rule testing, and data integration and auditing. Actively pursues process improvements, acts as a...
Central Control Group Compliance Associate (Ref: 01469)	T. Rowe Price	Americas, United States Owings Mills	04/22/2011
see details hide details PRIMARY PURPOSE OF THE POSITION The CCG Compliance Associate ensures that established policies and procedures are followed to ensure legal compliance and assists management in compiling reports for submission to various regulatory agencies (IRS, FINRA, and SEC). The position monitors for suspicious account activity, works closely with various departments on fraud...
Accountant, Senior (Financial Reporting) (Ref: 2539777)	Legg Mason	Baltimore	04/22/2011
see details hide details As a leading global asset management firm, Legg Mason offers rewarding career opportunities for individuals who share our passion for investing, and our commitment to putting clients first in everything we do. Whether you have industry experience and are seeking new challenges or are just beginning your career, we invite...
Adjustment Associate (Ref: 01438)	T. Rowe Price	Americas, United States Owings Mills	04/21/2011
see details hide details PRIMARY PURPOSE OF THE POSITION The Adjustment Associate analyzes and processes shareholder and internal requests for account corrections due to incorrect transaction processing, system constraints, or tax reporting problems. This position understands the intent of each request, verifies the validity of the request based on current policy, validates that proper backup...
Group Leader- Operations - Central Control Group (Ref: 01470)	T. Rowe Price	Americas, United States Owings Mills	04/21/2011
see details hide details PRIMARY PURPOSE OF THE POSITION The position exists to provide oversight and direction that ensures the Transfer Agent is effectively executing controls to minimize exposure to internal and external fraud, ensure customer compliance, mitigate operational risk, and perform accurate and timely regulatory reporting for the TRP mutual funds, the College Savings...
Sr. Mortgage Compliance Specialist (Ref: 632687)	Capital One	Bethesda	04/16/2011
see details hide details Perform risk assessments and assist with documenting controls in the mortgage originations line of business. Review procedures and training. Prepare risk summaries on a regular basis. Work with business to address any issues and perform remediation work as needed. Advise business and risk partners on applicable regulatory requirements for originating...
TELLER I-Germantown, MD (Ref: 632657)	Capital One	Germantown	04/15/2011
see details hide details Summary: Process deposits, transfers, withdrawals, and other transactions in accordance with established policies and procedures; must be continuously aware of fraud loss and check cashing guidelines as well as all security and transaction documentation requirements. Also responsible for the security of assigned cash which must be maintained and balanced within...