- HUB International (New York, NY)
- …Risk Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures. This means assisting in enhancing ... Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and...limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer, will be a highly visible,… more
- Foresters Financial Services (Westbury, NY)
- …strategy + Time value of money + Prospecting and telephone techniques (if you become FINRA licensed) + Compliance training What you need to have: + High School ... enhancing the service experience of clients*. *This role requires FINRA licensing within 12 months of hire to allow...of support is dictated by whether the incumbent is FINRA licensed. + As directed by the representative, based… more
- Santander US (Staten Island, NY)
- …+ Maintains required professional training and license requirements, including knowledge of FINRA compliance , FDIC compliance , the Bank's uninsured Products ... client objectives, and making appropriate investment/insurance recommendations consistent with compliance standards to achieve sales results and long-term client… 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 along with… more
- JPMorgan Chase (Pittsford, NY)
- …+ Valid and 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, ... Supervisory or Compliance professional, demonstrating expertise in managing and overseeing compliance efforts. + Knowledge of FINRA , MSRB, and SEC rules and… more
- Truist (New York, NY)
- …review the following job description:** The Business Unit Risk Advisor Specialist II- FINRA engages with the Investment Banking and Capital Markets Business Unit ... stakeholders to support The Business Unit Risk Advisor Specialist II- FINRA is a role within the Investment Banking and Capital Markets (IBCM) Business Unit Risk… more
- Truist (New York, NY)
- …and regulatory knowledge with an emphasis on: Credit, Market, Liquidity, Compliance , Operational, Reputation and Strategic Risks. 6. Strong leadership and ... + Master's degree in finance or equivalent science/academic field. + Strongly preferred: FINRA Series 7, 52, 53 + Strong knowledge of trading floor rules and… more
- Robert Half Finance & Accounting (New York, NY)
- … FINRA Regulations/Filings, policies/procedures, personal trading review/Personal Account Dealings, compliance testing and AML/KYC. Series 7 FINRA license is ... of FINRA Regulations/Filings, policies/procedures, personal trading review/Personal Account Dealings, compliance testing and AML/KYC + Series 7 FINRA license… more
- BankOnBuffalo (Buffalo, NY)
- …Development apprised of any business issues. + Adhere to the complexity of FINRA guidelines and bank compliance . + Establish additional processes and procedures ... education funding, and financial planning. CFP or similar professional designation preferred. FINRA Series 7 and 63 licenses plus Series 65 or 66, plus… more
- JPMorgan Chase (New York, NY)
- …degree, depending on work experience + 5+ years of relevant experience in financial services compliance + Knowledge of SEC, FINRA , OCC and CFTC rules relating to ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...responses to regulatory inquiries and examinations from the SEC, FINRA , OCC, CFTC and other regulators + Coordinate with… more
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