- Unknown (Jersey City, NJ)
- …in accordance with the Bank Secrecy Act, USA PATRIOT Act, and relevant FINRA , SEC, and state regulations. This role requires acting as a subject-matter expert ... exams and inquiries. Applicants must have broker-dealer experience, a FINRA Series 7 License, and a Series 24 (or...4 months of hire). Significant AML experience within a FINRA -registered broker-dealer is essential, as is in-depth knowledge of… more
- Unknown (New York, NY)
- …that all products and activities adhere to the 1940 Act and FINRA requirements. Key responsibilities include managing the compliance oversight program, mentoring the ... fund marketing materials and investor communications for SEC and FINRA compliance, as well as partnering with legal and...Investment Advisers Act of 1940, SEC Rule 482, and FINRA Rule 2210. FINRA Series 7 and… more
- Unknown (Jersey City, NJ)
- …in accordance with the Bank Secrecy Act, USA PATRIOT Act, and relevant FINRA , SEC, and state regulations. This role requires a subject-matter expert with significant ... AML experience within a FINRA -registered broker-dealer, including CDD, EDD, transaction monitoring, sanctions screening,...The ideal candidate will have a Broker-dealer experience, a FINRA Series 7 License, and a Series 24 (or… more
- Unknown (Jacksonville, FL)
- …leader with deep expertise in broker-dealer operations, GAAP accounting, and SEC/ FINRA reporting, and will be responsible for driving operational excellence, ... an advanced degree being a plus, and an active FINRA Series 27 license. A CPA is preferred, and...The role demands a comprehensive knowledge of broker-dealer operations, FINRA /SEC regulations, and financial reporting requirements, as well as… more
- Unknown (New York, NY)
- …training, and AML compliance. This role involves independently managing the FINRA relationship, conducting annual supervisory reviews, and ensuring the firm's AML ... compliance program at a broker-dealer, with a strong working knowledge of FINRA rules, particularly those related to investment banking compliance and regulatory… more
- Unknown (New York, NY)
- …the firm's financial activities, ensuring compliance with GAAP, SEC, and FINRA regulations, and being deeply involved in financial decision-making. The successful ... accounting, business accounting, or finance. A Certified Public Accountant (CPA) license and FINRA Series 99 license are required. The ideal candidate will have a… more
- Unknown (Minneapolis, MN)
- …with a history of professional success, and be prepared for some travel. FINRA registration (SIE, Series 7, and Series 66 or equivalent) and Insurance Licenses ... Variable, and/or Property/Casualty) are mandatory, with the company offering sponsorship for FINRA licensing. The position is suited to individuals who are bright,… more
- Unknown (Detroit, MI)
- …The candidate must be an adept public speaker and hold the necessary licenses, including a FINRA Series 6 or 7 and 63 license in good standing, and a Life and Health ... license. A BA/BS degree or equivalent work experience is also required. The role is currently considered remote, with an estimated travel requirement of up to 50%. The company is an equal-opportunity employer and is committed to diversity, inclusion, and… more
- Unknown (Dallas, TX)
- …Applicants for the Managing Director position at the company should possess a FINRA Series 7 and 66 (or equivalent) and demonstrate an entrepreneurial mindset with ... strong ethics and professional maturity. The role demands a leader with a strategic vision, the ability to mentor and develop the advisory team, and a focus on driving the business forward. The ideal candidate will have a background in wealth management, with… more
- Unknown (Chicago, IL)
- …experience in alternatives, mutual fund, or SMA sales within the wealth channel, and hold FINRA Series 7 and 63 licenses. A proven track record of success in a ... financial sales environment, excellent communication skills, and the ability to travel up to 80% are essential. The role also involves adhering to compliance guidelines, managing administrative responsibilities, and conducting client seminars and events. The… more
- Unknown (Duluth, GA)
- …relevant field is required, with an MBA or advanced degree preferred, and a FINRA Series 6 license is necessary. The candidate should have a background in corporate ... accounting, corporate finance, or a related area, with experience in the financial services industry being particularly advantageous. The role demands a leader with a proven track record in team management, a deep understanding of financial principles, and the… more
- Unknown (Durham, NC)
- …regulatory bodies is a plus. The role requires familiarity with SEC and FINRA requirements for registered products, as well as proven success in managing ... multi-jurisdictional compliance frameworks. The ideal candidate will possess strong leadership, communication, and collaboration skills, and a CAMS certification is preferred. Experience with regulatory audits, data privacy, and internal investigations is also… more
- Unknown (El Paso, TX)
- …in the field is preferred. The role demands excellent familiarity with the SEC and FINRA environment, as well as a clean U-4 with current Series 7, 24, 53, 99, ... and 66 licensing. The ideal candidate will have experience with commission vs. advisory business, knowledge of trading, and be familiar with OATS/CATS and TRACE reporting. High standards of integrity, ethical judgment, and excellent communication skills are… more
- Unknown (New York, NY)
- …to act in the best interest of the business. A Series 7, 63, and 79 FINRA licenses are necessary, with the possibility of a contingency period to obtain the licenses ... at the manager's discretion. Travel Percent Less than 10% Functions General Management Business Development Strategy more
- Unknown (Chicago, IL)
- …FCM compliance, with a deep understanding of regulatory requirements under the SEC, FINRA , NFA, CFTC, and other applicable exchanges. The role requires a high level ... of integrity, conduct, and adherence to company values, as well as the ability to operate within the established risk framework. The ideal candidate will be a proactive problem-solver, capable of ensuring that all operational and regulatory parameters are… more
- Unknown (New York, NY)
- …CFA being a plus. The candidate must also possess or be willing to obtain FINRA Series 79 and 63 licenses. Strong communication, leadership, and a proven work ethic ... are necessary for this demanding and rewarding position. Travel Percent Less than 10% Functions Finance more
- Unknown (New York, NY)
- …and a proven track record of dealing with regulators such as the SEC, FINRA , CFTC, and NFA. Essential skills include in-depth knowledge of fixed income businesses, ... strong writing, verbal, and analytical skills, and the ability to manage multiple tasks simultaneously. The role demands a professional with a strong work ethic, the ability to work well with others, and experience in managing a team. The candidate should be… more
- Unknown (Greenwich, CT)
- …strategies. The role requires expertise in global regulations such as SEC Rule 206(4)-1, FINRA Rule 2210, and non-US regulatory regimes, as well as the ability to ... review complex presentations for compliance. The ideal candidate will have a proactive approach to providing guidance on compliant advertising and performance reporting practices, and be adept at interpreting and communicating regulatory rules. Experience in… more
- PNC (Cleveland, OH)
- …and have an opportunity to contribute to the company's success. As a FINRA Supervisory Principal within PNC Wealth Management, you will be located in Cleveland, ... be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7, 66 (or 63/65), 24 (or 9/10)...66 (or 63/65), 24 (or 9/10) required. In addition, FINRA Series 4 and 53 required for trade review.… more
- Santander US (Miami, FL)
- SEC/ FINRA Regulatory Controls & Operational Oversight - VP Country: United States of America **Your Journey Starts Here:** Santander is a global leader and innovator ... team to review, monitor and track controls related to SEC/ FINRA regulations. * Work with control team to ensure...to help assess and escalate identified issues related to SEC/ FINRA regulatory controls. 5. Change Management * Partner with… more
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