- First National Bank of Omaha (Sugar Grove, IL)
- …the community. + Compliance & Ethics: Uphold bank policies, laws, and FINRA / SEC regulations, ensuring compliance with the bank's BSA/AML Program as ... experience. + 3 years of experience in the investment or financial services industry. + FINRA Series 7 and 66 (or Series 63 & 65) registrations. + State Life,… more
- Robert Half Finance & Accounting (Chicago, IL)
- …compiling, analyzing, and submitting accurate regulatory reports to relevant agencies, including the SEC , FINRA and CME, ensuring the brokerage firm adheres to ... trading mechanisms, and relevant financial instruments. + Thorough knowledge of NFA, SEC , FINRA , and other applicable securities regulations. + Proficiency in… more
- Raymond James Financial, Inc. (Chicago, IL)
- …through education and experience to assist the lead legal and compliance liaison perform internal pre-marketing/offering review for negotiated municipal and ... underwritings and placements. Assists with transaction document review to ensure compliance with regulatory and internal policies and procedures regarding clients… more
- US Bank (Glenview, IL)
- …- Experience with the policies, processes and procedures of the brokerage industry, FINRA and SEC regulatory standards and all applicable regulatory bodies, ... - To be eligible for business incentives, must have FINRA SIE, Series 6 or 7, 63 registrations and...- Proven understanding of operations, policies, procedures, regulations and compliance requirements - Strong analytical skills with an emphasis… more
- Raymond James Financial, Inc. (Chicago, IL)
- …Authority ( FINRA ), Series 63_AG - Agent - Financial Industry Regulatory Authority ( FINRA ), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory ... + Remain cognizant of our commitment to regulatory and compliance requirements. **Educational/Previous Experience Requirements** + Ideal candidate will have… more
- Marex (Chicago, IL)
- …coverage. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , NFA, CFTC and other applicable exchanges. + Adhere to the ... trading features + Assist with requests for exchange and compliance reporting. + Process requests to create, manage and...and implementing best practices. + Understand and adhere to Compliance rules and how role relates to the regulatory… more
- Marex (Chicago, IL)
- …frameworks. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , NFA, CFTC and other applicable exchanges. + Adhere to the ... execution of trades on behalf of clients while ensuring compliance with industry regulations using multiple systems. + Analyze...responsibility. + To report any breaches of policy to Compliance and/ or your supervisor as required. + To… more
- Marex (Chicago, IL)
- …all systems. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , NFA, CFTC and other applicable exchanges. + Adhere to the ... Manage technical client on-boarding + Complete exchange reporting and compliance audits. + Provide consultative sales support. + Manage...responsibility. + To report any breaches of policy to Compliance and/ or your supervisor as required. + To… more
- Marex (Chicago, IL)
- …smoothly. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , NFA, CFTC and other applicable exchanges. + Adhere to the ... responsibility. + To report any breaches of policy to Compliance and/ or your supervisor as required. + To...a regulated environment and knowledge of the risk and compliance requirements associated with this. Salary Range: $55,000 to… more
- Kyndryl (Springfield, IL)
- …below more) + Insights into regulatory frameworks (eg, Basel III, SEC , FINRA , etc.) to help clients navigate compliance challenges + Deep understanding of ... veteran status, or other characteristics. Kyndryl is also committed to compliance with all fair employment practices regarding citizenship and immigration status. more