- Robert Half Finance & Accounting (Houston, TX)
- …and maintenance of compliance policies and procedures in line with FINRA , SEC , and state regulations. + Regulatory Filings: Prepare and submit ... and approve marketing materials, advertisements, and other communications to ensure compliance with FINRA and SEC rules. + Training and Education: Help… more
- Jackson National Life Insurance Company (Lansing, MI)
- …registrations. The Compliance Analyst, Distribution Surveillance assists in maintaining compliance with FINRA and SEC regulations, specifically ... Workday and apply through Jobs Hub._** **Job Purpose** **The Compliance Analyst is responsible for the monitoring of policies..., legal, etc.) required.** **Securities Industry Essentials (SIE) required.** ** FINRA Series 6 or 7 and FINRA … more
- Wells Fargo (Bee Cave, TX)
- …to supervise the activities of representatives (eg, financial advisors) to ensure their compliance with FINRA and SEC rules and regulations, as ... the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands… 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 ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...preparing responses to regulatory inquiries and examinations from the SEC , FINRA , OCC, CFTC and other regulators… more
- Huntington National Bank (Columbus, OH)
- …The successful candidate will have knowledge of investment banking and capital markets compliance requirements including relevant FINRA , SEC , OCC and MSRB ... Description The Huntington Capital Markets Enterprise Compliance Risk Director Senior will play a critical...critical role in the execution and implementation of the Compliance Program for Huntington's Investment Banking Broker Dealers and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and compliance with Generally Accepted Accounting Principles (GAAP) and SEC requirements. * Manages the preparation of quarterly external reporting releases, ... through education and experience to manage the preparation of SEC filings, conduct complex accounting research, and work with...ability to obtain within 120 days (as required by FINRA ), may be required depending on assigned functional area.… 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 ... registration (eg FINRA , state, SFC). These will be determined by Compliance based on role-specific duties. + Financial marketing strategy or writing experience… more
- Vanguard (Malvern, PA)
- …(Margin, Securities Lending, Asset Servicing), oversees performance of operation, and ensures compliance with SEC , OCC, FINRA regulations. Reviews applicable ... This role oversees the operational effectiveness, risk management, and regulatory compliance of mission critical brokerage operations, while also supporting client… more
- MUFG (New York, NY)
- …+ 5+ years of Fixed Income Compliance experience + Strong knowledge of FINRA , SEC , NFA and CFTC rules and regulations. + Strong verbal, written and ... details. Our ideal candidate will possess a strong understanding of regulatory compliance , risk management, and business operations. This role requires someone who… more
- First National Bank of Omaha (Fort Collins, CO)
- …Compliance ** + Serve as a senior risk officer across the Wealth division, ensuring compliance with all applicable SEC , FINRA , OCC, and state trust ... in risk and operations roles across wealth management (prefer experience with OCC, SEC , FINRA , trust, RIA, broker-dealer, capital markets). + Proven experience… more