- 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
- Navy Federal Credit Union (Schaumburg, IL)
- …account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations. + Conduct review of accounts to communicate ... an internal pipeline for smaller dollar volume accounts in compliance with Navy Federal and NFIS policies and procedures....documentation and processes comply with Navy Federal standards and FINRA , NASAA, SEC and other regulatory agencies.… more
- Navy Federal Credit Union (Schaumburg, IL)
- …account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations + Conduct review of accounts to communicate ... for smaller dollar volume, and less complex, accounts in compliance with Navy Federal and NFIS policies and procedures...documentation and processes comply with Navy Federal standards and FINRA , NASAA, SEC and other regulatory agencies… 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
- JPMorgan Chase (Chicago, IL)
- …a Supervisory or Compliance professional preferred. + Possess an advanced knowledge of FINRA , MSRB and SEC rules and regulations. + Experience working in an ... the securities / investment industry + Minimum licensing requirement: FINRA Series 7 and one or more of the...7 and one or more of the following licenses: FINRA Series 66 (63/65), 9/10 (4,24,53). Additional licensing requirements… more
- CIBC (Chicago, IL)
- …experience in trade surveillance and familiarity with federal securities laws and SEC / FINRA regulations. + **You have a Bachelor's degree/diploma** in Finance, ... will include analyzing financial transactions, identifying suspicious activities, and ensuring compliance with AML regulations. You'll work closely with the AML team… more
- Marex (Chicago, IL)
- …required. + 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. + Experience in operating… more
- Broadridge Financial Solutions (Chicago, IL)
- …with observability tooling (Datadog, similar others). + Exposure to regulatory environments ( FINRA , SEC , etc.) and audit-readiness practices. Soft Skills: + ... MQ governance modelsnaming conventions, access controls, TLS/mutual auth, and compliance enforcement. + Define audit logging, configuration baselines, and change… more
- US Bank (Chicago, IL)
- …, audit and financials, while ensuring all Fund Accounting functions are in compliance with SEC regulations and GAAP principles. Basic Qualifications - ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more
- Siebert Williams Shank (Chicago, IL)
- …trading platform, and a sound regulatory capital base. We are a SEC -registered securities broker-dealer and member of the Financial Industry Regulatory Authority ( ... FINRA ) and the Municipal Securities Rulemaking Board (MSRB). Our...all activities and duties are carried out in full compliance with regulatory requirements and internal policies and procedures… more