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File Review Jobs in Alabama (NOW HIRING)

StoneX Group

Deputy Chief Compliance Officer

Birmingham, AL · On-site

$120K - $170K/yr

... filings * Review and approve marketing materials and internal communications for regulatory compliance, as needed * Conduct regulatory research and assist in preparing responses to regulatory ...

StoneX Group

Deputy Chief Compliance Officer

Birmingham, AL · On-site

$120K - $170K/yr

... filings * Review and approve marketing materials and internal communications for regulatory compliance, as needed * Conduct regulatory research and assist in preparing responses to regulatory ...

Cavender's

Assistant Manager - Store

Hoover, AL · On-site

... files * Review and correct timecard exceptions and missed punches, and approve payroll * Assist in the practice of shrinkage control through preventative measures and through legal prosecution (when ...

Cavender's

Assistant Manager - Store

Dothan, AL · On-site

... files * Review and correct timecard exceptions and missed punches, and approve payroll * Assist in the practice of shrinkage control through preventative measures and through legal prosecution (when ...

Cavender's

Assistant Manager - Store

Prattville, AL · On-site

... files * Review and correct timecard exceptions and missed punches, and approve payroll * Assist in the practice of shrinkage control through preventative measures and through legal prosecution (when ...

Cavender's

Assistant Manager - Store

Huntsville, AL · On-site

... files * Review and correct timecard exceptions and missed punches, and approve payroll * Assist in the practice of shrinkage control through preventative measures and through legal prosecution (when ...

Cavender's

Assistant Manager - Store

Tuscaloosa, AL · On-site

... files * Review and correct timecard exceptions and missed punches, and approve payroll * Assist in the practice of shrinkage control through preventative measures and through legal prosecution (when ...

Caliber Collision

Perform frequent quality control reviews for field operations as well as file reviews for estimate accuracy in compliance with company guidelines * Responsible for technician assigned tooling ...

New

Cavender's

Assistant Manager - Store

Prattville, AL

... files * Review and correct timecard exceptions and missed punches, and approve payroll * Assist in the practice of shrinkage control through preventative measures and through legal prosecution (when ...

Cavender's

Assistant Manager - Store

Tuscaloosa, AL

... files * Review and correct timecard exceptions and missed punches, and approve payroll * Assist in the practice of shrinkage control through preventative measures and through legal prosecution (when ...

Cavender's

Assistant Manager - Store

Dothan, AL · On-site

... files * Review and correct timecard exceptions and missed punches, and approve payroll * Assist in the practice of shrinkage control through preventative measures and through legal prosecution (when ...

Cavender's

Assistant Manager - Store

Huntsville, AL

... files * Review and correct timecard exceptions and missed punches, and approve payroll * Assist in the practice of shrinkage control through preventative measures and through legal prosecution (when ...

Cavender's

Assistant Manager - Store

Birmingham, AL

... files * Review and correct timecard exceptions and missed punches, and approve payroll * Assist in the practice of shrinkage control through preventative measures and through legal prosecution (when ...

CB&S Bank

Commercial Loan Closer

Russellville, AL · On-site

Complete post-closing reviews to verify all required documents and filings have been received.Track and clear post-closing exceptions in a timely manner.Ensure all loan documentation complies with ...

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Showing results 21-40

All JobsFile Review JobsFile Review Jobs in Alabama

File Review information

What are some common challenges faced by professionals in file review roles, and how can they be managed?

One common challenge in File Review roles is maintaining accuracy and attention to detail while handling a high volume of documents within tight deadlines. Professionals often need to quickly identify discrepancies or missing information, which requires strong organizational skills and a systematic approach. Working closely with other departments, such as compliance or underwriting, is essential to resolve issues efficiently. Time management and regular communication with team members can help manage workload and ensure quality standards are consistently met.

What are the key skills and qualifications needed to thrive as a file reviewer, and why are they important?

To excel as a File Reviewer, you need strong attention to detail, analytical skills, and a background in the relevant field (such as law, insurance, or healthcare). Familiarity with case management systems, document management software, and sometimes industry-specific certifications are commonly required. Excellent organizational skills, effective communication, and discretion in handling sensitive information set standout professionals apart. These competencies are crucial for ensuring accuracy, compliance, and efficient processing of critical documentation.

What is a file review?

File review jobs involve examining and assessing documents or files for accuracy, completeness, and compliance with relevant standards or regulations. Professionals in this role may work in industries such as law, insurance, healthcare, or finance, reviewing client records, applications, or case files. Their main responsibilities include identifying missing information, ensuring all documentation meets required guidelines, and preparing reports on their findings. Attention to detail and strong organizational skills are essential for success in file review positions.

What is the difference between File Review vs Document Reviewer?

AspectFile ReviewDocument Reviewer
Primary RoleAssessing and evaluating files for accuracy, completeness, and complianceExamining and verifying individual documents for correctness and adherence to standards
Required CredentialsTypically requires knowledge of industry standards, basic certifications, or trainingOften requires similar credentials, with emphasis on document-specific standards
Work EnvironmentOffice or remote, often in legal, financial, or healthcare sectorsOffice-based, in legal, insurance, or compliance industries
Employer UsageUsed by firms needing to verify file integrity and complianceUtilized by organizations reviewing individual documents for accuracy

File Review involves evaluating entire files for compliance and completeness, while Document Reviewer focuses on verifying individual documents. Both roles share similar credentials and work environments, but their scope differs—File Review is broader, whereas Document Review is more detailed on specific documents.

What are popular job titles related to File Review jobs in Alabama? For File Review jobs in Alabama, the most frequently searched job titles are:
What job categories do people searching File Review jobs in Alabama look for? The top searched job categories for File Review jobs in Alabama are:
What cities in Alabama are hiring for File Review jobs? Cities in Alabama with the most File Review job openings:
File Review jobs near you
Infographic showing various File Review job openings in Alabama as of August 2026, with employment types broken down into 1% As Needed, 82% Full Time, 14% Part Time, and 3% Contract. Highlights an 89% Physical, 3% Hybrid, and 8% Remote job distribution.

Deputy Chief Compliance Officer

StoneX Group

Birmingham, AL

$120K - $170K/yr

Full-time

Posted 29 days ago

Job description

Connecting clients to markets – and talent to opportunity. 
 
With 5,400+ employees and over 80,000 institutional, commercial, and payments clients, we operate from more than 80 offices spread across six continents. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors. 
 
Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing, StoneX Group is made up of four business segments that offer endless potential for progression and growth. 

 

Institutional: Immerse yourself in the best-in-class institutional-grade technology, working alongside industry experts and gaining exposure to various asset classes, such as equities, options, fixed income securities, and advanced trading, research, and management technology. 


The Deputy Chief Compliance Officer reports directly to the Chief Compliance Officer and supports the retail business lines of StoneX Wealth Management. This role is responsible for assisting in the design, implementation, and oversight of compliance programs across both broker-dealer and investment advisory operations. The ideal candidate will possess strong communication and writing skills, advanced analytical capabilities, and significant experience using Microsoft Excel for data management and regulatory reporting. The role requires the ability to manage multiple priorities in a fast-paced, highly regulated environment.

Responsibilities 

  • Provide guidance to employees on compliance with the Code of Ethics (COE), Written Supervisory Procedures (WSPs), and applicable regulatory requirements
  • Assist the CCO in coordinating and executing annual compliance reviews, including FINRA Rule 3120 and Advisers Act Rule 206(4)-7 reviews
  • Perform recurring compliance monitoring and reporting functions, including review of surveillance reports, exception reporting, and supervisory controls
  • Review supervisory activities related to advisory programs to ensure adherence to internal policies and regulatory standards
  • Assist in drafting, reviewing, and maintaining regulatory disclosures, including Form CRS and Form ADV (Part 2 and Part 3)
  • Prepare and file regulatory submissions for RIA entities and affiliated firms, including Forms ADV (1A), ADV-E, 13F, NP-X, 13H, and other required filings
  • Review and approve marketing materials and internal communications for regulatory compliance, as needed
  • Conduct regulatory research and assist in preparing responses to regulatory inquiries, audits, and examinations
  • Assess and evaluate daily operations and implement automation where appropriate to streamline operating functions. Collaborate with cross functional compliance, AML and supervision teams to support daily initiatives
  • Supervise staff that supports both investment advisory and broker dealer compliance initiatives
  • Perform additional duties as required to support the compliance function and broader business needs

  • Bachelor’s degree or equivalent industry experience required
  • FINRA Series 7 and Series 24, Series 65 or 66 required;
  • Minimum of 5 years of compliance or related financial services experience preferred
  • Strong knowledge of broker-dealer and investment adviser operations, including:
    • Trading and custody processes
    • Account onboarding and maintenance
    • Billing and performance reporting systems
  • Working knowledge of the Investment Advisers Act of 1940 and related rules
  • Ability to interpret and apply regulatory requirements to business practices and assist in developing compliant policies and procedures
  • Strong analytical, problem-solving, and organizational skills
  • Excellent written and verbal communication skills
  • Advanced proficiency in Microsoft Excel (Access or other data tools a plus)
  • Demonstrated ability to manage multiple priorities and meet deadlines
  • Proven ability to build effective working relationships across business lines
  • Leadership skills with the ability to delegate, guide, and mentor others in a professional and ethical manner

Hiring Salary Range $120,000 - $170,000 (Salary to be determined by the education, experience, knowledge, skills and abilities of the applicant, internal equity and alignment with market data.) Subject to business performance and recommendations of management, this role may be eligible to participate in an incentive compensation plan. This compensation package, in addition to a full range of medical, financial, and/or other benefits, dependent on the position, is offered.  

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