- Paychex (Rochester, NY)
- Overview Monitors and evaluates developments in SEC and FINRA regulations in order to mitigate the risk of legal or regulatory sanctions, financial loss, or damage ... but not limited to, on-site branch audits to verify and document compliance .Implements and conducts various monitoring and testing to ensure adherence to regulatory… more
- TD Bank (Greenville, SC)
- …for this role. **Line of Business:** TD Wealth **Job Description:** The Principal Review Analyst II is a FINRA and SEC regulatory supervisory principal position ... and SEC rules regarding client accounts including Regulation Best Interest and FINRA suitability rule * Ensures compliance with AML/CIP/KYC programs regarding… more
- Guardian Life (Columbus, OH)
- …to be part of a collaborative Legal Compliance Team? As a Lead Compliance Analyst , Park Avenue Securities, and Park Avenue Investment Advisory, you will ... branch office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in...in certain circumstances, various state insurance laws. The Lead Compliance Analyst is responsible for developing a… more
- MUFG (Irving, TX)
- …the banking industry? This opportunity might be right for you. As part of the Compliance Analyst Program, the Analyst will work closely with both financial ... to collaborate with colleagues globally. Analysts are expected to transition out of the Compliance Analyst Program and into a position within a financial crime … more
- Wells Fargo (Short Hills, NJ)
- **About this role:** Wells Fargo is seeking a Client Performance Analyst 3 in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about our ... + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 (or 63 and 65)...is required for ongoing employment in this position + Compliance with state law registration and licensing requirements is… more
- Wells Fargo (Short Hills, NJ)
- **About this role:** Wells Fargo is seeking a Client Performance Analyst 3 in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about our ... + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 (or 63 and 65)...is required for ongoing employment in this position + Compliance with state law registration and licensing requirements is… more
- Citigroup (Tampa, FL)
- Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Compliance Testing - Branch Examinations team responsible ... by Citi's first and second line of defense. The Compliance Testing Sr. Analyst performs risk-based testing...FINRA Series 7, 63, 65. **Job Family Group:** Compliance and Control **Job Family:** Testing **Time Type:** Full… more
- SMBC (Jersey City, NJ)
- …to its employees. **Role Description** SMBC is looking to hire a Financial Crime Compliance ("FCC") Program Governance Analyst reporting to a Director of FCC ... Program Governance. The FCC Program Governance Analyst will assist the FCC department in the administration,...functions. This role will work with stakeholders within the Compliance Department and business partners throughout SMBC to ensure… more
- T. Rowe Price (Baltimore, MD)
- …opportunity to join us and grow your career with us. Role Summary Investment Compliance is a global function responsible for ensuring compliance with regulatory, ... existing accounts, and programming of all restrictions into the firm's investment compliance monitoring system, Charles River. The Investment Compliance Officer… more
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** As a Compliance Analyst within Principal Asset Management you'll support Private Funds. This person will primarily support the private funds ... compliance program with both broker dealer and investment adviser...Are** + Bachelor's degree or equivalent experience required. + FINRA licensing is required including the SIE or equivalent,… more
- MUFG (Tampa, FL)
- …A member of our recruitment team will provide more details. Trade Services Operations Compliance Analyst position is located in Tampa, Florida. This unique First ... Line of Defense team is responsible for three compliance activities: Conducting Anti-Money Laundering Red Flag reviews, analyzing and dispositioning OFAC/Sanctions… more
- MUFG (Irving, TX)
- …one day. A member of our recruitment team will provide more details. Sanctions Analyst will sit within the Global Sanctions Compliance Department, reporting to ... Advisory team lead. This role will interface with MUFG's senior sanctions compliance managers in the United States and regional financial crimes offices (RFCOs)… more
- Alight (Charlotte, NC)
- …careers.alight.com. **About the Role** This position will provide regulatory compliance support to Alight Solutions' broker-dealer and registered investment advisor ... businesses. The analyst will help to mitigate legal exposure/risk to the...policies, procedures and regulatory requirements. **Responsibilities** + Reviewing daily FINRA Correspondence + Responding to regulatory inquiries + Checking… more
- MUFG (Tempe, AZ)
- …any student pursuing a career in the financial services industry. + **Business Compliance Analyst : Business Solutions Team** + Gain exposure to developing ... Business Analyst and Project Management skills, along with ...background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major… more
- JPMorgan Chase (Columbus, OH)
- …a new career opportunity? Join our Account Maintenance Group as a Client Data Analyst in Chase Wealth Management (CWM). In joining our Asset & Wealth Management ... partners that our team supports. **Job Summary:** As a Client Data Account Maintenance Analyst within our Client Maintenance Roles Team, you will be tasked with the… more
- US Bank (St. Louis, MO)
- …you excel at-all from Day One. **Job Description** The Operational Risk Review (ORR) Analyst has an exciting opportunity to be a part of the build and implementation ... testing across the Company. The Operational Risk Review (ORR) Analyst (" Analyst ") is responsible for the execution...include working with the business lines and other Risk, Compliance , and Audit professionals across the bank to evaluate… more
- T. Rowe Price (Baltimore, MD)
- …you to explore the opportunity to join us and grow your career with us. Analyst , Middle Office - Venture Capital & Securities Lending Team Summary: The Middle Office ... Management. Role Summary: We are seeking a Middle Office Analyst to administer and process the books and records...distribution. Securities Lending (SL): + Perform daily review and compliance check of SL information provided by lending agents.… more
- MUFG (Irving, TX)
- …the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities ... listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any. The… more
- JPMorgan Chase (Plano, TX)
- …a new career opportunity? Join our Account Maintenance Group as a Client Data Analyst in Chase Wealth Management (CWM). In joining our Asset & Wealth Management ... and approving the brokerage account maintenance service requests in accordance with FINRA rules and industry regulations. + Leveraging a **risk management** mind-set… more
- Citigroup (Tampa, FL)
- …assist and/or handle other duties related to internal inquiries, audit requests, and FINRA regulatory matters. **Job Family Group:** Compliance and Control **Job ... familiarity with investment products/characteristics. **Responsibilities:** + Supporting teams with compliance and control; partners with operations, risk, compliance… more