- BlackRock (New York, NY)
- …marketing and communications. The Associate will work closely with product, marketing and compliance groups and FINRA staff to help ensure regulatory ... income. + Develop and apply a robust knowledge of FINRA advertising rules, '40 Act and '33 Act communications...and rigor. **Qualifications** + Bachelor's degree + 3+ years compliance background with a broker-dealer, mutual fund, or ETF… more
- Mizuho Corporate Bank (New York, NY)
- … technology. Deep understanding of financial regulations and industry standards (SEC, FINRA , GDPR, etc.) Key Outcomes: + Improved compliance monitoring and ... Join Mizuho as a Business Analyst IT for Compliance Technology! In this role you will bridge...will bridge business needs and IT solutions within the compliance field. This role involves analyzing requirements, designing technology… more
- CIBC (New York, NY)
- …(https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Capital Markets Compliance Examination Specialist is responsible for the execution of ... the US Compliance Examination Plan established to ensure adherence with broker-dealer...Banking, Commodities and brokerage operations. + Solid understanding of FINRA , SEC and NYSE rules and regulations + Knowledge… more
- Wells Fargo (New York, NY)
- …while developing the knowledge to understand function, policies, procedures, and compliance requirements + Collaborate and consult with peers, colleagues and ... Expectations:** + Up to 10% travel + Registration for FINRA SIE must be completed within 180 days of...of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange… more
- Wells Fargo (New York, NY)
- …while developing the knowledge to understand function, policies, procedures, and compliance requirements + Collaborate and consult with peers, colleagues and ... Expectations:** + Up to 10% travel + Registration for FINRA SIE must be completed within 180 days of...of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange… more
- TD Bank (New York, NY)
- …have extensive Wealth Management leadership experience + Extensive understanding of current compliance and regulatory issues (OCC, SEC, FINRA , and State ... in Wealth by partnering with US Wealth Senior Leadership Team, Federated Partners ( Compliance , Legal), and AMCB Consumer Bank teams to ensure that all regulatory, … more
- TD Bank (New York, NY)
- …a critical executive role responsible for management of Administration, FINRA required FINOP responsibilities, Marketing Principal duties, Strategy, middle-office ... responsibilities. This role will also lead first-line engagement and activities with Compliance and Legal with respect to Office of Supervisory Jurisdiction (OSJ)… more
- Raymond James Financial, Inc. (New York, NY)
- …objectives, ensuring operational excellence. **Advanced Knowledge of:** + Securities industry compliance practices, concepts, and procedures. + SEC, FINRA , FRB ... Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision of… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD Bank US Compliance , ... a mission to build a more resilient and scalable compliance risk management function. As part of our team,...deadlines** + **Experience presenting to management and regulators** + ** FINRA series 7 and 24** + **Life and Health… more
- Marex (New York, NY)
- …For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide compliance ... bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements, including… more