- Guardian Life (Harrisburg, PA)
- …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
- Santander US (Conshohocken, PA)
- …* Maintain 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
- PNC (PA)
- …valued and have an opportunity to contribute to the company's success. As a FINRA Supervisory Principal within PNC Investments, you may be based in a remote ... participate in STEM OPT for this position. **Job Description** + Licensing requirements: FINRA Series 7/66 (63/65). Series 24 (9/10). + Partners with regulatory risk… more
- ADP (Allentown, PA)
- …benefits administration and a leader in business outsourcing services, analytics, and compliance expertise. We believe our people make all the difference in ... long, proud history of conducting business with the highest ethical standards and full compliance with all applicable laws. We also expect our people to uphold our… more
- Vanguard (Malvern, PA)
- …and functions to ensure business objectives are met while ensuring it's done in compliance with SEC and FINRA rules and regulations. Achieve compliant quality ... registration (eg FINRA , state, SFC). These will be determined by Compliance based on role-specific duties. + Financial marketing strategy or writing experience… more
- Lincoln Financial (Radnor, PA)
- …at a Glance** We are excited to bring on a Consultant, Advertising Compliance to support our Lincoln Financial Distributors (wholesale) business unit in reviewing ... internal, financial professional and public audiences. Comprehensive knowledge of state, FINRA /SEC regulations is required as well as diplomatic and public speaking… more
- Vanguard (Malvern, PA)
- …Securities Lending, Asset Servicing), oversees performance of operation, and ensures compliance with SEC, OCC, FINRA regulations. Reviews applicable current ... This role oversees the operational effectiveness, risk management, and regulatory compliance of mission critical brokerage operations, while also supporting client… more
- Wells Fargo (Philadelphia, PA)
- …partnerships with all centers of excellence (COE) and support partners; managing risk/ compliance ; expense / P&L management; and exception management + Execute on ... or leadership experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9, 10, and 63 examinations (or FINRA … more
- Wells Fargo (Pittsburgh, PA)
- …the following: work experience, training, military experience, education + Successfully completed FINRA Series 7 exam to qualify for immediate registration (or ... FINRA recognized equivalents) **Desired Qualifications:** + Successfully completed ...This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is… more
- PNC (PA)
- …and have an opportunity to contribute to the company's success. As a Compliance Program Advisor, you will be within PNC's Retail Organization supporting the Risk, ... Experience & Strategy (RCES) First Line of Defense Regulatory Compliance team. This is a remote position. Work may...* Capital Markets and or Broker Dealer experience * FINRA regulatory licenses (series 24 or 53) are preferred… more