- USAA (Colorado Springs, CO)
- …maximize effectiveness of member acquisition and relationship efforts. Maintains compliance with policies, procedures, and regulatory requirements.We offer a ... In conjunction and coordination with Securities Counsel and Securities Compliance , provides research and documentation support for use in...days of job entry.RETIREMENT INCOME ONLY: Required maintenance of FINRA Series 7, 66 (or 63 and 65), 24,… more
- USAA (Colorado Springs, CO)
- …identified, measured, monitored, and controlled in accordance with risk and compliance policies and procedures.What you have:High School Diploma or General ... Life & Health licenseActive, in good standing, and maintained FINRA 7 licenseActive, in good standing, and maintained ...FINRA 7 licenseActive, in good standing, and maintained FINRA Series 66 (or 63 & 65) licenseMust be… more
- USAA (Colorado Springs, CO)
- …identified, measured, monitored, and controlled in accordance with risk and compliance policies and procedures.What you have:High School Diploma or General ... Equivalency Diploma required.Required maintenance of Life/Health license.Required maintenance of FINRA Series 7 license.Required maintenance of FINRA Series 66… more
- USAA (Colorado Springs, CO)
- …channels. Works with Product Owners, Process Owners, Experience Owners, and Compliance stakeholders to evaluate products, advice, and solutions to develop and ... identified, measured, monitored, and controlled in accordance with risk and compliance policies and procedures.What you have:Bachelor's degree OR 4 years of… more
- TIAA (Dallas, TX)
- Compliance Associate The Compliance Associate supports broader planning of business unit compliance programs in order to ensure organization functions are in ... compliance with all relevant laws, regulations, and policies and...**Work Experience** + 2+ Years Required; 3+ Years Preferred ** FINRA Registrations** + SRC Indicator: Series 6 or 7;… more
- DXC Technology (Tulsa, OK)
- …exceptional customer support, processing account updates, handling inquiries, and ensuring compliance with FINRA regulations. **Key Responsibilities** + Provide ... Quality Assurance (QA) support, including enhanced QA reviews for FINRA -registered associates handling variable investment transactions. **Qualifications** **Required:** +… more
- Capital One (Plano, TX)
- …leader, executing targeted transactions or control testing for applicable SEC and FINRA compliance requirements. -Managing to testing schedules to ensure all ... Principal Associate - Compliance Tester Capital One is a diversified bank...Exchange Commission (SEC) regulations and Financial Industry Regulatory Authority ( FINRA ) Rules. Responsibilities will include (but may not be… more
- AON (Chicago, IL)
- …years of industry experience + Minimum of 10 years of experience in securities regulatory compliance + FINRA Exam Series 3, 7, 24, 27, 63, 79 preferred How ... Compliance Director - Chicago, IL This is a...Minimum of 10 years of experience in securities regulatory compliance + FINRA Exam Series 3, 7,...of experience in securities regulatory compliance + FINRA Exam Series 3, 7, 24, 27, 63, 79… more
- Foresters Financial Services (Silver Spring, MD)
- …strategy + Time value of money + Prospecting and telephone techniques (if you become FINRA licensed) + Compliance training What you need to have: + High School ... enhancing the service experience of clients*. *This role requires FINRA licensing within 12 months of hire to allow...of support is dictated by whether the incumbent is FINRA licensed. + As directed by the representative, based… more
- ManpowerGroup (Midland, TX)
- …Contract **What's the Job?** + Conduct virtual and on-site inspections to ensure compliance with FINRA Rules and internal policies. + Review work performed ... in the financial services industry, is seeking an Audit Compliance Officer to join their team. The ideal candidate...FINRA , SEC, and MSRB regulations. + Experience in Compliance Testing, Quality Assurance, or Internal Audit. + Familiarity… more
- Santander US (Boston, MA)
- …+ Maintain required professional training and license requirements, including knowledge of FINRA compliance , FDIC compliance , the Bank's uninsured Products ... around the client investment/insurance service needs and maintaining consistent with compliance and operations standards + Proactive daily client management of… more
- Santander US (Mashpee, MA)
- …+ Maintain required professional training and license requirements, including knowledge of FINRA compliance , FDIC compliance , the Bank's uninsured Products ... goals as defined on a quarterly basis + Maintain compliance with all applicable bank, broker/dealer, State and Federal...an MBA, CFP, CHLU or CHFC preferred. + Licenses/Certifications: FINRA licenses 7 and 66, or 7 and 63… more
- Santander US (West Hartford, CT)
- …+ Maintains required professional training and license requirements, including knowledge of FINRA compliance , FDIC compliance , the Bank's uninsured Products ... client objectives, and making appropriate investment/insurance recommendations consistent with compliance standards to achieve sales results and long-term client… more
- Wells Fargo (Lake Oswego, OR)
- …to supervise the activities of representatives (eg, financial advisors) to ensure their compliance with FINRA and SEC rules and regulations, as well as ... the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands… more
- Robert Half Finance & Accounting (San Diego, CA)
- …ethical standards of the organization. Key Responsibilities: + Monitor and maintain compliance with FINRA , SEC, and other applicable regulatory standards ... broker-dealer based in San Diego, CA, is seeking a Compliance Analyst to join their dynamic team. This position...with a strong understanding of financial services regulations, including FINRA /SEC rules. + Active Series 7 and Series 66… more
- JPMorgan Chase (Jersey City, NJ)
- …and skills: + Prior financial services experience in Trade Surveillance or other Compliance function + FINRA General Securities licenses such as Series 7, ... As part of Risk Management and Compliance , you are at the center of keeping...customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging… more
- Atria Wealth Solutions (Marion, IN)
- …+ Maintain Investment Department website. + Ensure the Investment Department is in compliance with FINRA . + Maintain advertising and complaint files as required ... by the FINRA . + Be prepared for compliance audits by the state or Credit Union Service Organization and correct any deficiencies. + Complete continuing education… more
- ADP (El Paso, TX)
- …to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job Responsibilities:** + Educates employees on account information, ... needed. **Job Requirements:** + Bilingual (English / Spanish) + FINRA Series 6 and 63 securities licenses and Securities...and a leader in business outsourcing services, analytics, and compliance expertise. We believe our people make all the… more
- Truist (Richmond, VA)
- …and is a key contributor to Senior Management regarding regulatory, compliance and supervision process/procedures. Provide oversight, coaching and career development ... workflows while maintaining a focus on regulatory and policy compliance . * Utilize QC observations to implement best practices...computer applications, such as Microsoft Office software products. + FINRA Series 7, 24, 53 and 66 licenses (Series… more
- Truist (Richmond, VA)
- …Sales Management. Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm policy. + ... Implement and enforce internal compliance related procedures, training and identification of potential harmful...or business, or equivalent education and related training. + ** FINRA Series 4, 7, 24, 53, and 66 licenses… more
