- US Bank (Charlotte, NC)
- …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
- PNC (Pittsburgh, PA)
- …and year-end accounting activities, including preparing journal entries, reconciliations, and FINRA regulatory reporting (FOCUS filings). Assist with daily ... are not limited to Support the group's scope of responsibilities including regulatory reporting, SEC reporting, corporate accounting, and funding and treasury… more
- US Bank (Boston, MA)
- …client shareholders and the SEC in order to comply with GAAP and regulatory reporting requirements. Ensure compliance with SEC , GAAP, and regulatory ... financial information. This role is critical in ensuring compliance with regulatory and accounting standards and maintaining accurate reporting. The ideal candidate… more
- Guardian Life (Raleigh, NC)
- …projects and initiatives. You have Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations along with a familiarity of ... office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various state insurance laws.… more
- PNC (Pittsburgh, PA)
- …Disclosure requirements ( SEC and other regulatory ), Economic and regulatory capital, Internal control assessments, Data analytics and modeling, and ... Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal… more
- 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
- 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
- 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
- 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
- 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
