- US Bank (New York, NY)
- …financial planning technology platforms - Proven ability to build and maintain relationships - FINRA Series 7 & 63, or willingness to obtain If there's anything we ... 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
- Raymond James Financial, Inc. (New York, NY)
- …and Responsibilities** + Execution of the risk-based branch exam program in FINRA -registered and non-registered Private Client Group branches across the country + ... compliance and/or branch exams + Rules and regulations of the SEC, FINRA , and state securities regulatory agencies + Fundamental investment concepts, practices, and… more
- TD Bank (New York, NY)
- …+ Working knowledge of US Electronic and Algo Trading rules and regulations, more specifically FINRA and SEC (eg, SEC Reg NMS, SEC Reg SHO, SEC Rule 15c3-5, FINRA ... 5310 - Best Execution Rule, SRO Rules), industry best practices and supervisory requirements is highly desired. + Must be comfortable interacting with Electronic Trading & Sales teams and Desk Heads / Supervisors. + Understanding of key non-financial risk… more
- SMBC (New York, NY)
- …1. Maintain entity level Risk Governance in compliance with CFTC/NFA and SEC/ FINRA regulations and uphold the risk governance framework for CUSO Market Risk ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… 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 the ... and regulations with the ability to assess firm impact. Specifically, SEC, FINRA , MSRB, and other regulatory organizations. + Excellent understanding of US… more
- Marex (New York, NY)
- …reporting. + Ensuring compliance with the company's regulatory requirements under the SEC, FINRA , NFA, CFTC and other applicable regulatory bodies. + Adhere to the ... 1-3 (one to three years' of relevant financial industry experience; working for a FINRA registered BD and NFA registered FCM + Experience with KYC (Know Your… more
- SMBC (New York, NY)
- …exams and reviews from external bodies such as FRB, NYDFS, NFA, CFTC, FINRA , etc. - Manage deliverables and remediation efforts related to oversight findings. ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- Wells Fargo (New York, NY)
- …quantitative discipline **Job Expectations:** + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of ... compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be… more
- Scotiabank (New York, NY)
- …examinations by evaluating and responding to requests from regulators including SEC, FINRA , NY Federal Reserve, and US Treasury Department. In coordination with ... equities sales and trading business. + Knowledge of relevant SEC and FINRA rules and regulations pertaining to Sales and Trading, including transaction reporting,… more
- Santander US (Staten Island, NY)
- …required professional training and license requirements, including knowledge of FINRA compliance, FDIC compliance, the Bank's uninsured Products Policy Statement ... a superior record of sales achievement while maintaining high ethical standards. + Licenses/Certifications: FINRA licenses 7 and 66, or 7 and 63 and 65 as well as… more