- Santander US (Miami, FL)
- SEC / FINRA Regulatory Controls &...with control team to review, monitor and track controls related to SEC / FINRA regulations. * ... with the Issue Management team. * Work with the control team to monitor compliance with regulatory ...to help assess and escalate identified issues related to SEC / FINRA regulatory controls .… more
- Insight Global (Dallas, TX)
- …of the US Securities and Exchange Commission ( SEC ) and the Financial Industry Regulatory Authority ( FINRA ). The Deputy CCO will play a key role in ensuring ... the development and implementation of compliance policies, procedures, and controls . *Lead training sessions for employees on key compliance...with regulatory exams and inquiries from the SEC , FINRA , and other regulatory … more
- Capital One (New York, NY)
- …controls around the monitoring of trading activity, and ensure ongoing compliance with SEC , FINRA , CFTC, and NFA regulatory requirements. The ideal ... & Audit Support** + Support internal audits and regulatory examinations and inquiries ( SEC , FINRA , CFTC, NFA), including documentation of responses… more
- MUFG (Irving, TX)
- …of controls and compliance with Securities and Exchange Commission ( SEC ), Financial Industry Regulatory Authority ( FINRA ), Commodity Futures ... for the regulatory requirements of the FRB, SEC , FINRA , OCC, CFTC, NFA and IIROC...Assess the adequacy of first- and second-line of defense controls and prepare reviews for senior management detailing assessment… more
- Citizens (Chicago, IL)
- …and Compliance Ensure adherence to regulatory requirements ( SEC , FINRA ) and internal policies, maintaining robust controls to mitigate operational risk. ... client onboarding, account maintenance, and transaction processing. + Demonstrated knowledge of regulatory requirements ( SEC , FINRA ) and internal risk… more
- Raymond James Financial, Inc. (New York, NY)
- …**Qualifications:** **Knowledge, Skills, and Abilities** **Knowledge of** + Federal Reserve, OCC, FINRA , SEC , and other relevant regulatory guidance + ... tooling strategy in order to effectively identify, measure, monitor, control and report on risks on a timely and...risk-related regulatory requirements (eg, OCC, FRB, FDIC, SEC , FINRA ) and ability to apply data… more
- MUFG (New York, NY)
- …working with the financial industry regulators, including OCC, FRB, SEC and FINRA and responding to regulatory requests. + Proficient understanding of the ... and work programs. + Evaluate design and operational effectiveness of internal controls and identify control weaknesses. + Generate insightful, meaningful… more
- Bloomberg (New York, NY)
- …including private BDCs, non-traded + REITs, and 506(c)/3(c)(7) vehicles and stay current on regulatory developments ( SEC , FINRA , 1940 Act) + Use business ... + Knowledge of US regulatory frameworks relevant to semi-liquid funds (eg, SEC , FINRA , 1940 Act compliance) + Strong analytical and problem-solving skills… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …industry compliance. + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state ... between the organization and industry committees such as SIA, FSI, and the FINRA . + Reviews compliance controls and recommends appropriate changes, as required.… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and/or banking compliance. + Rules and regulations of: Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); state ... + Implement formal testing protocols for key risks and controls . + Monitor regulatory developments and assess...with enterprise governance structures. + Maintain policy mappings to regulatory obligations and control frameworks such as… more
- Raymond James Financial, Inc. (Denver, CO)
- …and/or banking compliance. + Rules and regulations of: Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); state ... standards and procedures. + Develop and maintain the privacy regulatory control framework. + Develop and provide appropriate guidance, education, training… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …banking compliance reviews. + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state ... violations or potential liability. + Assists Management to implement adequate controls and quality assurance processes to detect and address potential compliance… more
- Raymond James Financial, Inc. (Memphis, TN)
- …banking compliance reviews. + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state ... meaningful input to ensure risk data is captured, risk mitigation strategies and controls are developed when gaps exist, and appropriate reporting mechanisms are in… more
- US Bank (Atlanta, GA)
- …Securities and Exchange Commission ( SEC ) Regulations, Financial Industry Regulatory Authority ( FINRA ) Regulations, 12CFR9 Regulation, Investments, Wealth ... laws and regulations (eg, Broker Dealer, Trust Services, Wealth Management, SEC Regulations, FINRA Regulations, 12CFR9 Regulation, Investments, Wealth… more
- Raymond James Financial, Inc. (Denver, CO)
- …and IBM Open Pages. + Rules and regulations of: Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); state securities ... for identifying, reporting, and resolving privacy risks. + Maintains a privacy regulatory inventory and control framework. + Provides privacy-specific guidance,… more
- T. Rowe Price (Owings Mills, MD)
- …The role requires an expert level of knowledge of the FINRA , SEC , MSRB and state broker dealer regulatory requirements and landscape, strong analytical ... regulatory organizations. + Utilizes expert knowledge of regulatory requirements and experience to assess controls ...not currently held Preferred: + Strong knowledge of broker/dealer regulatory requirements including FINRA , SEC ,… more
- Raymond James Financial, Inc. (Denver, CO)
- …industry operations + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state ... data and performance indicators to propose and/or assist with establishing control mechanisms and other improvement initiatives. Identifies trends and assists with… more
- MUFG (New York, NY)
- …support ongoing regulatory projects that have mandated compliance dates by FINRA . The individual will also play a role with certain supervisory functions that ... obligations are met. + Execute appropriate governance and controls to mitigate regulatory and operational risks....Compliance with completing inquiries from Market Regulation Department of FINRA and SEC . + Provide complete, accurate… more
- JPMorgan Chase (Tampa, FL)
- …on marketing-related regulatory topics, industry developments and regulations (including FINRA , SEC , CFPB, FTC etc.). + Conduct compliance assessment of ... Be part of our centralized team as an expert in marketing-related obligations (eg, FINRA 2210, SEC Rule 206, Investment Company/Advisers Act, OCC, MSRB, CFTC,… more
- SMBC (New York, NY)
- …and Skills** + Knowledge in US securities laws, rules and regulations, including SEC and FINRA requirements. + Ability to communicate this knowledge and ... Second Lines of Defense regarding a broad range of compliance and regulatory issues and works hand-in-hand with business/function partners to advise on compliance… more