- Wells Fargo (Hunt Valley, MD)
- …to supervise the activities of representatives (eg, financial advisors) to ensure their compliance with FINRA and SEC rules and regulations, as ... the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands… more
- The Hershey Company (Hershey, PA)
- …500 company. The successful candidate must have deep familiarity and experience with SEC /NYSE rules and filings, FINRA , HSR (and related international antitrust ... M&A-related filings ( SEC , NYSE, HSR) and respond to relevant inquiries ( FINRA ) -Lead integration efforts for Legal Department * Strategic and Financial Planning,… more
- Adecco US, Inc. (Milwaukee, WI)
- …accounts and processes to ensure conformance with GAAP accounting standards, as well as compliance with FINRA and SEC regulations. Prepares information for ... inclusion in regulatory filings and other management financial reports. **Primary Duties and Responsibilities** * Performs financial accounting functions for assigned accounts and processes to ensure conformance with GAAP accounting standards. Responsible for… more
- Ascensus (Dresher, PA)
- …effective Regulated Entity compliance program designed to comply with the applicable SEC , FINRA , MSRB, and state laws, rules, and regulations. + Prepares, ... significant working knowledge of the relevant rules and regulations associated with Compliance Department responsibilities (ie, SEC , FINRA , Investment… 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
- Truist (Richmond, VA)
- …brokerage and investment advisory industry rules, regulations, and operations.** + Familiar with SEC Marketing Rule and FINRA Communication with the Public Rule ... Sales Management. Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm policy. +… more
- Atria Wealth Solutions (Pasadena, CA)
- …new accounts, and ensuring member records/files are accurate and complete in accordance with FINRA and SEC compliance standards. + Engaging with members on ... FINRA / SIPC (http://www.sipc.org/) ). CFS (Member FINRA /SIPC) is a registered broker-dealer and SEC ...(Member FINRA /SIPC) is a registered broker-dealer and SEC Registered Investment Advisor with a stable, 25-year track… more
- NatWest Markets (Stamford, CT)
- …dealer regulations, and securities products and compliance including knowledge of CFTC, FINRA , SEC , CMA regulations. Specifically, with FINRA Rules 3110, ... will be part of the team responsible for assessing compliance risks and controls implemented by the first and...defence. The role is an effective part of the Compliance Assurance testing program and will be responsible for… more
- BMO Financial Group (Chicago, IL)
- …related to Onboarding/Operations and ensuring compliance with latest Onboarding related compliance (eg CIRO, FINRA , Dodd-Frank, SEC Security-Based Swaps, ... operational risk. + Working knowledge of relevant regulations including CIRO, FINRA , FATCA/CRS, Dodd-Frank, SEC Security-Based Swaps, Canadian Trade Reporting… more
- US Bank (St. Louis, MO)
- …Banking (CCB) business line. Assess the business line's compliance with CFTC, FINRA , MSRB, OCC and SEC requirements and the adequacy of related controls. ... what you excel at-all from Day One. **Job Description** Conduct regulatory compliance testing of capital markets, swap dealer, Municipal Securities Rulemaking Board… more
- KeyBank (Brooklyn, OH)
- …of internal controls and compliance processes. + General knowledge of SEC , FINRA , and state insurance laws and regulations. + Working knowledge ... Tiedeman Road - Brooklyn, Ohio 44144-2302 The KIS Surveillance Compliance Associate reports directly to the KIS Senior ...Compliance Associate reports directly to the KIS Senior Compliance Manager for Risk Management (KIS Senior Compliance… more
- AON (Chicago, IL)
- …the investment banking team. Aon Securities LLC has global operations and is a FINRA US registered broker dealer, and SEC Registered Investment Adviser. The ... Minimum of 10 years of experience in securities regulatory compliance + FINRA Exam Series 3, 7,...Aon Securities LLC has global operations and is a FINRA US registered broker dealer, and SEC … 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
- First National Bank of Omaha (Frisco, TX)
- …the community. + ** Compliance & Ethics:** Uphold bank policies, laws, and FINRA / SEC regulations, ensuring compliance with the bank's BSA/AML Program as ... experience. + 3 years of experience in the investment or financial services industry. + FINRA Series 7 and 66 (or Series 63 & 65) registrations. + State Life,… more
- CIBC (New York, NY)
- …and maintaining an effective compliance program to address all relevant SEC , FINRA , OCC, Federal Reserve and Delaware regulatory requirements as they ... line of defense compliance program to achieve compliance with SEC , OCC, Federal Reserve and...1940, the Investment Company Act of 1940 and applicable FINRA Conduct Rules. + A working knowledge of OCC… more
- Charles Schwab (Westlake, TX)
- …of all corrective actions. + Maintain a strong working knowledge of SRO rules (eg FINRA , SEC , NFA), as well as federal and state regulations. **What you have** ... advisory businesses, as well as testing standards/methodologies. + Understanding of FRB, SEC , FINRA , NFA, OCC, Privacy and Anti-Money Laundering rules and… more
- Wells Fargo (Charlotte, NC)
- …training, military experience, education **Desired Qualifications:** + Knowledge of SEC / FINRA /MSRB and CFTC/NFA regulations applicable to the regulated ... **About this role:** Wells Fargo is seeking a Lead Compliance Officer to advise, monitor, and challenge the Corporate...Compliance or Business experience in regulated entities + FINRA license (active or lapsed) + Experience managing a… more
- NatWest Markets (Stamford, CT)
- …all relevant US regulatory requirements for electronic and algorithmic trading, including FINRA and SEC rules and regulations. Responsibilities will include: + ... Director Electronic Trading Compliance Officer, US Stamford,United States Permanent Full Time... advisory + Strong knowledge of US regulations, including FINRA and SEC rules and regulations related… more
- US Bank (Charlotte, NC)
- …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
- Citigroup (Jacksonville, FL)
- …and associated standards. Oversight also includes applicable regulations as outlined by the SEC , FRB, OCC, NYSE, FINRA and state regulatory rules and ... Private Client Wealth Supervision manages a team of over 50 FINRA -licensed colleagues responsible for the supervisory oversight of investments sales activity… more