- Wells Fargo (Denver, CO)
- …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
- Principal Financial Group (Des Moines, IA)
- …knowledge of securities regulations will be necessary to appropriately respond while staying in compliance with FINRA and SEC Regulations. + Work on daily ... reports and other requirements while adhering to strict adherence to Firm, FINRA and SEC regulations. Responsible for reviewing for Best Execution of trades to… more
- Truist (Atlanta, GA)
- …Inc This role will be responsible for various broker-dealer reporting requirements in compliance with GAAP, FINRA and SEC requirements. **_This position ... from time to time. 1. Prepare the weekly Customer Reserve calculation under SEC Rule 15c3-3 for the securities trading business. 2. Calculate broker dealer… 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
- 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
- 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
- Truist (Winston Salem, NC)
- …brokerage and investment advisory industry rules, regulations, and operations. + Familiar with SEC Marketing Rule and FINRA Communication with the Public Rule ... Management. Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm...or business, or equivalent education and related training. + FINRA Series 4, 7, 24, 53, and 66 licenses… more
- City National Bank (Los Angeles, CA)
- …responsibilities. * Analyze marketing material for compliance with regulatory standards including, SEC , FINRA and MSRB. * Serve as a resource to internal ... Analyze marketing material for compliance with regulatory standards including, SEC , FINRA and MSRB. * Assist with regulatory exams, audits, production of… 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
- Randstad US (South Jordan, UT)
- …systems, ensuring compliance with firm policies. + Risk Mitigation: Follow SEC / FINRA , Compliance , and Firm guidelines, verifying client identities to ... clients to avoid identity theft and fraudulent activity * Keep current on SEC / FINRA , Compliance and Firm guidelines and to processing and all interactions… 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
- Morgan Stanley (Alpharetta, GA)
- …ensure all case interactions are appropriately entered and documented * Keep current on SEC / FINRA , Compliance and Firm guidelines and apply to processing and ... overseeing the team with a focus on client service, consistency, quality, and compliance with Firm policies and procedures * Responsible for the supervision of… more
- Siebert Williams Shank (New York, NY)
- …either been a CCO or the number two compliance professional for a SEC registered and FINRA member broker-dealer * Have Operations experience including but ... a focus on the Public Finance underwriting business * Provide advice on MSRB, FINRA , and SEC rules, regulations and interpretive guidance, as well as applicable… more
- TEKsystems (Atlanta, GA)
- …have: + IIA or Audit Certification (CIA, CFSA, CCSA, CRMA or CPA). + Knowledge of FINRA , SEC and compliance rules and regulations. + 2+ years previous ... financial services industry or audit experience. About TEKsystems: We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients,… more
- Morgan Stanley (Tampa, FL)
- …for all clients to avoid identity theft and fraudulent activity * Keep current on SEC / FINRA , Compliance and Firm guidelines and apply to processing and all ... interactions to ensure risk mitigation * Other ad hoc duties as assigned *Required Qualifications* * Contact center or call center experience * Active Licenses: o Series 7 o Series 66 * 1 year of experience in the financial services industry * Any demonstrated… more
- Morgan Stanley (South Jordan, UT)
- …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
- First National Bank of Omaha (Fort Collins, CO)
- …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
- 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