- Wells Fargo (New York, NY)
- …retaining high-performing teams + Direct regulatory experience encompassing OCC, Federal Reserve, FINRA , and/or SEC compliance + Comprehensive investment ... the lifecycle of all investment products, ensuring applicability, regulatory compliance , and relevance. + Collaborate with partners across WIM...& Risk Oversight** + Ensure all products comply with FINRA , SEC , OCC, and other regulatory body… 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
- Insight Global (New York, NY)
- …Mobile Device Management (MDM) and Mobile Application Management (MAM). Experience must align with compliance standards such as SEC , FINRA , SOX, and GLBA. ... Microsoft Intune, MobileIron, Microsoft Endpoint Manager, and mobile device compliance policies. - Security and Compliance Knowledge...in a highly compliant environment with standards such as SEC , FINRA , SOX and GLBA - Scripting… 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
- CIBC (New York, NY)
- …of daily sales and trading activities of CIBC's derivatives businesses to assess overall compliance with CFTC and SEC rules pertaining to swaps implemented under ... program to support the initiative is implemented; + Conducting Compliance training on matters pertaining to CFTC, SEC...a plus; + Experience as a regulatory examiner with SEC , NFA or FINRA (NFA or … more
- JPMorgan Chase (Pittsford, NY)
- …expertise in managing and overseeing compliance efforts. + Knowledge of FINRA , MSRB, and SEC rules and regulations, ensuring adherence to industry ... active Series 7, 9/10 (or 4, 24, and 53), 66 (or 63/65) FINRA licenses, ensuring compliance with industry standards. + Valid and active Life, Health, and Long… 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)
- 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...specialized knowledge of Accounting & Financial management risk, regulatory compliance and internal controls related to financial processes and… 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