- Capital One (New York, NY)
- …Dealer Chief Compliance Officer. This role will support three institutional FINRA registered broker dealers and provide compliance support to the Capital ... new and updated financial industry laws and regulatory requirements (eg, FINRA , SEC). The Compliance Advisor Senior Manager works within the Compliance … more
- T. Rowe Price (Baltimore, MD)
- …+ Demonstrated leadership qualities and ability to influence and inspire a culture of compliance . FINRA Requirements FINRA licenses are preferred and may be ... collaborative and inquisitive professional to join our North America Compliance team as a Senior Compliance Officer...regulations, and guidelines, including but not limited to SEC, FINRA , and other regulatory bodies. + Proven track record… more
- Atria Wealth Solutions (San Jose, CA)
- …up and maintain client files with appropriate information and in accordance with FINRA compliance standards. + Keep all securities and insurance licensing ... referrals for members with investment needs. Qualifications + Active FINRA SIE, Series 7, 66 (or 63 and 65)...by Patelco Credit Union and registered through CFS (Member FINRA (http://www. finra .org/) / SIPC (http://www.sipc.org/) ). To… more
- Foresters Financial Services (Dublin, OH)
- …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
- Santander US (Staten Island, NY)
- …+ 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
- Randstad US (South Jordan, UT)
- …systems, ensuring compliance with firm policies. + Risk Mitigation: Follow SEC/ FINRA , Compliance , and Firm guidelines, verifying client identities to prevent ... to avoid identity theft and fraudulent activity * Keep current on SEC/ FINRA , Compliance and Firm guidelines and to processing and all interactions to ensure… more
- 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 well as ... the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands… more
- TD Bank (Burlington, VT)
- … and SEC rules regarding client accounts including Regulation Best Interest and FINRA suitability rule * Ensures compliance with AML/CIP/KYC programs regarding ... for this role. **Job Description:** The Principal Review Analyst II is a FINRA and SEC regulatory supervisory principal position with the Central Office of… more
- Citigroup (Jersey City, NJ)
- …analysts' requests to make public appearances and the provision of disclosures in compliance with FINRA Rule 2241. + Chaperoning and tracking authorized ... Serves as a compliance officer, specifically relating to research publications &...rules, regulations, risks and typologies + Extensive knowledge of FINRA Rules 2241 and 2242, + US Securities Laws… more
- Guardian Life (Columbus, OH)
- …will conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...+ Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations along with… more
- Principal Financial Group (Des Moines, IA)
- …of securities regulations will be necessary to appropriately respond while staying in compliance with FINRA and SEC Regulations. + Work on daily reports ... relating to potential and existing customer accounts, trade approvals, compliance regulations, available products, and industry information. + Specific knowledge… more
- Morgan Stanley (South Jordan, UT)
- …improvement, efficiencies, and policy consistency * Ability to stay current on SEC/ FINRA , compliance , firm guidelines, and department policies and procedures ... 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 all ... overseeing the team with a focus on client service, consistency, quality, and compliance with Firm policies and procedures * Responsible for the supervision of… more
- Equitable (Melville, NY)
- …**Qualifications** **Required Qualifications** + Minimum of 1-3 years in Compliance Role + FINRA Series 7, 66 registrations ... Branch Compliance Manager (Willing to Obtain Series 24) (...from financial advisors. + Will conduct annual financial advisor compliance interviews/audits, including inspection of business practices and physical… more
- Morgan Stanley (Tampa, FL)
- …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)
- …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 or… 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
- Citizens (Boston, MA)
- Description This FINRA /Securities Specialist Investigator III will be tasked with investigating potential federal FINRA Rules and Securities Law violations and, ... of evidence. + Establish investigative plans, in collaboration with other investigators, compliance and the legal staff, and keep plan updated throughout an… more
- Equitable (Minneapolis, MN)
- …\#LI-ANCHOR **Qualifications** **Required Experience:** + Bachelors degree + 1 Years experience in Compliance roles + FINRA Series 7, 65 or 66 registrations + ... your potential? **The Minneapolis Branch location is seeking an experienced Compliance Supervisor, this position is required to be onsite.** **Job… 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, ... with other business units as needed. **Job Qualifications:** + FINRA Series 6 and 63 securities licenses and Securities...conducting business with the highest ethical standards and full compliance with all applicable laws. We also expect our… more