- Wells Fargo (Charlotte, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... screening and mandatory reporting of certain incidents. + Specific compliance policies may apply regarding outside activities or personal investing; affected… more
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... periodic screening and mandatory reporting of certain incidents. + Specific compliance policies may apply regarding outside activities or personal investing;… more
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... include periodic screening and mandatory reporting of certain incidents. Specific compliance policies may apply regarding outside activities or personal investing;… more
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... include periodic screening and mandatory reporting of certain incidents. Specific compliance policies may apply regarding outside activities or personal investing;… more
- TD Bank (New York, NY)
- …Equities. + FINRA Series 7 & 24 licenses required + Deep knowledge of US Broker Dealer regulation; more specifically FINRA and MSRB rules & regulations, industry ... regulatory obligations and manage employee conduct and behaviors to ensure compliance . GMS maintains strong relationships with registered Supervisors to oversee a… more
- Wells Fargo (Charlotte, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- Santander US (Brooklyn, NY)
- …related sales and revenue goals as defined on a quarterly basis. * Maintain compliance with all applicable bank, broker / dealer , State and Federal regulations ... client objectives, and making appropriate investment/insurance recommendations consistent with compliance standards to achieve sales results and long-term client… more
- Truist (Richmond, VA)
- …job description:** The Business Unit Risk Advisor II role, advising the retail broker dealer business, engages with Business Unit leadership in its management ... across Truist (where applicable). 7. Advocate the Bank's risk culture, compliance with enterprise risk initiatives and promote sound risk management practices.… more
- Santander US (Boston, MA)
- …capabilities within client segment and stay current with competitive trends. + Maintain compliance with all applicable bank, broker / dealer , State and Federal ... around the client investment/insurance service needs and maintaining consistent with compliance and operations standards + Proactive daily client management of… more
- Truist (Charlotte, NC)
- …and managerial functions that are routinely associated with those of a retail broker / dealer and RIA. **Essential Duties and Responsibilities** + Manage a team ... and procedures. Ensure team is aware and understands all changes relating to compliance with industry rules, regulations as well as internal policies and procedures.… more