- Wells Fargo (Charlotte, NC)
- …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
- Wells Fargo (San Diego County, CA)
- …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
- Aegon Asset Management (Cedar Rapids, IA)
- …maintaining, and updating compliance policies, procedures, and controls to ensure compliance with applicable SEC , FINRA , and state securities rules ... Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative...it pertains to the sale of such products + FINRA Series 7, 24 & 66 + Excellent written… 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, ... - 6 to 10 years **Certifications** GS - Gen Sec Rep - Financial Industry Regulatory Authority ( FINRA... Sec Rep - Financial Industry Regulatory Authority ( FINRA ) **Travel** Less than 25% **Workstyle** Hybrid At Raymond… more
- Aegon Asset Management (Cedar Rapids, IA)
- …Financial Group (WFG). The candidate should possess and apply broad knowledge of FINRA , SEC , and other applicable regulators' concepts and principles; work with ... Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative...of insurance and securities laws, regulations, rules, etc. + FINRA licensing (Series 7 & 24 required). + Exemplary… more
- Aegon Asset Management (Cedar Rapids, IA)
- …Group (WFG). The ideal candidate should possess and apply broad knowledge of FINRA , SEC , and other applicable regulators' concepts and principles, work with ... Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative...of insurance and securities laws, regulations, rules, etc. + FINRA licensing (Series 7 & 24 required). + Exemplary… 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
- Wells Fargo (Charlotte, NC)
- …of securities and derivative products including working knowledge of compliance with FINRA 4210, MiFID, MSRB, SEC , FATCA withholding, AML regulation as it ... team is a cross-functional group of teams that provides support for onboarding compliance and reference data governance for CIB Markets as well as the broader… more
- Commerce Bank (St. Louis, MO)
- …efforts with organizational objectives and market opportunities + Ensure team adherence to FINRA , SEC , and internal compliance policies, conducting regular ... service. This role will focus on recruitment, coaching, business development, and compliance to align with corporate goals and regulatory requirements. The Sales… more
- Arena Investors LP (Jacksonville, FL)
- …. Experienced reviewing marketing materials in line with SEC and FINRA rules; . Experienced conducting annual compliance reviews; . Experienced managing ... and efficiency. . 7 - 10 years of regulatory compliance experience at a SEC -registered investment adviser...insurance clients; . Experienced administering regulatory filings with the SEC , FINRA , FCA, MAS and others; .… more