- CIBC (New York, NY)
- …Capital Markets Equities and Equity Derivatives businesses; (2) taking reasonable steps to ensure compliance with all SEC , FINRA , and all other relevant SRO ... US Capital Markets business, which includes liaising with external regulators (eg FINRA , SEC , Federal Reserve), internal infrastructure support and front office… more
- Hold Brothers (New York, NY)
- …recommendations for process and/or control modifications, and oversee any such implementation in compliance with FINRA and SEC requirements + Manage daily ... weekly computation of the firm's reserve requirements to ensure consistent compliance with net capital rules * Prepare supporting documentation, technical… more
- Capital One (New York, NY)
- …keeping abreast of new and updated financial industry laws and regulatory requirements (eg, FINRA , SEC ). The Compliance Advisor Senior Manager works within ... matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, including but not limited to application of those… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and compliance with Generally Accepted Accounting Principles (GAAP) and SEC requirements. * Manages the preparation of quarterly external reporting releases, ... through education and experience to manage the preparation of SEC filings, conduct complex accounting research, and work with...ability to obtain within 120 days (as required by FINRA ), may be required depending on assigned functional area.… more
- Citizens (Boston, MA)
- …+ Experience with social media, OSINT, payments, investments research + Knowledge of FINRA / SEC investigative best practices + Competence using a desktop computer ... Description This FINRA /Securities Specialist Investigator III will be tasked with...+ Establish investigative plans, in collaboration with other investigators, compliance and the legal staff, and keep plan updated… more
- Citizens (Tarrytown, NY)
- …BD and Trust functions to ensure compliance with applicable regulations, including SEC , FINRA , state securities laws, and trust regulations. + oversee and ... Description The Compliance Team Lead will have responsibilities within the...Private Wealth segment to advise and counsel on applicable SEC , FINRA , MSRB, trust, and state securities… more
- M&T Bank (Boston, MA)
- …Provide subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations. + Manage MTS's Written Supervisory ... management on compliance matters. Personal responsibility and accountability to ensure FINRA compliance in the Institutional Broker Dealer. This position has… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Responsibilities:** * Proactively ensures compliance with applicable industry rules (State, FINRA & SEC ) and platform policies and procedures as they apply ... * May consult independently with staff and recommend actions to ensure compliance with existing rules and regulations as well as prevent potential liability.… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …of technology. * Proactively ensures compliance with applicable industry rules (States, FINRA , SEC , ERISA, & DOL) and with firm policies and procedures as ... work is of good quality. * Works collaboratively with Compliance , Supervision, Legal, and the business units to address...* Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and… more
- Morgan Stanley (South Jordan, UT)
- …process improvement, efficiencies, and policy consistency * Ability to stay current on SEC / FINRA , compliance , firm guidelines, and department policies and ... oversight reports with a focus on quality, consistency, and compliance with firm and department policies and procedures. *...* 2 years of industry experience * Risk or compliance experience a plus Education: * Bachelor's degree or… more
- Citizens (Johnston, RI)
- …requirements, effectively promoting our Wealth Management services while ensuring adherence to SEC , FINRA and OCC regulations. At Citizens, we're more than ... beyond your role, and make an impact! As the Compliance Team Lead- Advertising & Marketing, you will play...Citizens Marketing Department to advise and counsel on applicable SEC , FINRA , MSRB and state securities regulations… more
- Morgan Stanley (Columbus, OH)
- …Client Identification Program (CIP), and account suitability standards). * Keep current on SEC / FINRA , Compliance and firm guidelines and policy and procedure ... changes and apply to processing and all interaction to ensure risk mitigation * Participate in projects and/or remediation efforts as needed including pilot programs * Other duties as assigned Qualifications * Bachelor's degree required or equivalent education… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …processes that provides new and existing associates assistance and support with their FINRA , SEC , CFTC, MSRB, CBOE, NMLS, and NFA registrations. This position ... business impacts, and works with members of the PCG Compliance , Supervision, Legal, IT, and business leadership teams to...practices, and procedures of the financial services industry. * FINRA , SEC , MSRB, CBOE, CFTC, NMLS, and… more
- Santander US (New York, NY)
- …executing compliance processes and controls for initiating, maintaining, and updating SEC , CFTC, FINRA , NFA related registrations and filings for the Firm ... Years Compliance , Legal, Regulatory, or Financial Services. Pref + FINRA Licensing and Registration experience required. **Skills and Abilities:** + Knowledge of… more
- JPMorgan Chase (Tampa, FL)
- …partners on a broad array of marketing policies and regulations (including communications-related FINRA , SEC , OCC and DOL rules). + Perform Monitoring activities ... Summary** Bring your expertise to JPMorgan Chase & Co's Compliance , Conduct and Operational Risk (CCOR), where you are...regulator, fund or financial institution. + Working knowledge of FINRA (2210/2220/2214), SEC (482, Investment Company Act,… more
- Tradeweb (New York, NY)
- …relating to Compliance Risks and associated regulatory obligations, including relevant SEC , FINRA and state rules. **Job Responsibilities** + As the ... written supervisory procedures, policies, training, annual testing, transaction monitoring and AML compliance + Manage the Firms' FINRA Gateway filings (ie,… more
- Wells Fargo (Charlotte, NC)
- …training, military experience, education **Desired Qualifications:** + Strong knowledge of FINRA , SEC , CFTC, MSRB regulations impacting the operational processes ... **About this role:** Wells Fargo is seeking a Senior Compliance Specialist in Corporate Risk as part of Corporate...dealers, municipal securities dealers or futures commission merchants + FINRA registration including Series 7 or 99 (or … more
- TD Bank (Greenville, SC)
- …Business:** TD Wealth **Job Description:** The Principal Review Analyst II is a FINRA and SEC regulatory supervisory principal position with the Central Office ... New Account documentation to ensure adherence to all applicable FINRA and SEC rules regarding client accounts...rules regarding client accounts including Regulation Best Interest and FINRA suitability rule * Ensures compliance with… more
- US Bank (Minneapolis, MN)
- …a financial institution, audit, consulting and/or regulatory agency such the OCC, FINRA , SEC or Federal Reserve. **Preferred Skills/Experience** - Willingness to ... compliance . - Background or experience in RIA or SEC regulated firm compliance is a plus....positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- Marex (New York, NY)
- …+ Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , NFA, CFTC and other applicable exchanges and regulatory bodies. ... laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA , SEC , Options Clearing Corp. and other Self-Regulatory Organizations. +… more