- Wells Fargo (New York, NY)
- …advise business partners accordingly. + Provide substantive legal advice on regulatory and compliance matters, including SEC , FINRA , NYSE/Nasdaq, and global ... 1933 and the Securities Exchange Act of 1934 + Familiarity with FINRA rules and broker-dealer compliance + Experience working with or advising ECM/DCM desks at a… more
- MUFG (New York, NY)
- …+ 5+ years of Fixed Income Compliance experience + Strong knowledge of FINRA , SEC , NFA and CFTC rules and regulations. + Strong verbal, written and ... details. Our ideal candidate will possess a strong understanding of regulatory compliance , risk management, and business operations. This role requires someone who… more
- Raymond James Financial, Inc. (New York, NY)
- …of:** + Securities industry compliance practices, concepts, and procedures. + SEC , FINRA , FRB Bank Holding Company, and state regulatory frameworks. + ... a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation,...risks associated with Capital Markets activities, ensuring adherence to SEC , FINRA , FRB Bank Holding Company, and… more
- SMBC (New York, NY)
- …securities products. **Role Objectives: Delivery** 1. Maintain entity level Risk Governance in compliance with CFTC/NFA and SEC / FINRA regulations and uphold ... Associate will collaborate with teams in the Front Office, Finance, Accounting, Compliance , Legal, and Audit, while leveraging resources within the Risk Management… more
- BMO Financial Group (New York, NY)
- …requires four days onsite at our New York office. Our ideal candidate has a SEC / FINRA examiner background with broker dealer experience including SEC 15c3 ... experience, possessing a strong understanding of broker dealer operations and SEC / FINRA regulations. If you have dealt with trading intricacies and have… more
- Scotiabank (New York, NY)
- …manage regulatory examinations by evaluating and responding to requests from regulators including SEC , FINRA , NY Federal Reserve, and US Treasury Department. In ... Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary Range:** 180,000.00...equities sales and trading business. + Knowledge of relevant SEC and FINRA rules and regulations pertaining… more
- Marex (New York, NY)
- …Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , Various Securities Exchanges, and other applicable regulatory ... laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA , SEC , Various Securities Exchanges, Options Clearing Corp. and other… more
- Marex (New York, NY)
- …process. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , MSRB, and other regulatory rules and regulations. + Adhere to ... laws, rules and regulations with the ability to assess firm impact. Specifically, SEC , FINRA , MSRB, and other regulatory organizations. + Excellent understanding… more
- JPMorgan Chase (New York, NY)
- …external examinations and audits Required qualifications, capabilities, and skills + Knowledge of SEC , FINRA and MSRB rules relevant to securities trading with ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...regulatory trade reporting, best execution, distribution of issues, and SEC Market Access rule + Strong written and oral… more
- Guardian Life (Albany, NY)
- …will conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...+ Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations… more
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