• Analyst, Fixed Income Research

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …Authority ( FINRA ), Series 63_AG - Agent - Financial Industry Regulatory Authority ( FINRA ), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory ... + Remain cognizant of our commitment to regulatory and compliance requirements. **Educational/Previous Experience Requirements** + Ideal candidate will have… more
    Raymond James Financial, Inc. (05/08/25)
    - Related Jobs

  • WM Affluent Associate

    US Bank (Appleton, WI)
    …- Experience with the policies, processes and procedures of the brokerage industry, FINRA and SEC regulatory standards and all applicable regulatory bodies, ... degree preferred) - Five or more years of investment industry experience preferred - FINRA SIE, Series 7, Series 63 and 65/or 66 registrations and life, variable… more
    US Bank (05/07/25)
    - Related Jobs

  • Benefits/HRIS Human Resources Business Partner

    OTC Markets Group Inc (New York, NY)
    …NQB are each an SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker-dealer, member SIPC. Applicants have rights under the federal ... vision + Prepare any applicable reporting for and ensure compliance of federal, state and local laws and regulations...leadership on year-end Stock Buyback and Equity Compensation process. Compliance + Analyze changes to global (US, EMEA) labor… more
    OTC Markets Group Inc (05/13/25)
    - Related Jobs

  • Branch Controls Manager

    Equitable (Milwaukee, WI)
    …for ensuring sales practices, account documentation, and books and records comply with SEC , FINRA and state rules and insurance regulations. + Monitor and ... **Required Qualifications** + Bachelors degree + 3 Years experience in Compliance roles + FINRA Series 7, 66, 24 and 51 registrations + Knowledge of… more
    Equitable (05/15/25)
    - Related Jobs

  • Business Controls Analyst - DRD

    Fifth Third Bank, NA (Grand Rapids, MI)
    … Series 7 and 63/66 licenses preferred. + Knowledge of the Securities industry and SEC / FINRA regulations is preferred. Business Controls Analyst - DRD LOCATION ... and best practices deemed necessary by key stakeholders (such as Legal, Compliance , Enterprise Risk and Audit partners). Supports Business Controls in advancing risk… more
    Fifth Third Bank, NA (05/29/25)
    - Related Jobs

  • Wealth Supervisory Control Manager (Principal…

    Citizens (Johnston, RI)
    …trades, and other activities requiring principal approval to ensure adherence to FINRA , SEC , and other regulatory requirements. + Team Management: Supervising ... and approving various financial transactions, accounts, and activities, ensuring compliance with regulatory standards and internal policies, by meticulously… more
    Citizens (05/08/25)
    - Related Jobs

  • Regulatory Change Management Attorney

    US Bank (Minneapolis, MN)
    …company with a focus on broker-dealer and registered investment adviser requirements, including SEC and FINRA regulations and state securities laws. - Advise ... regulatory changes for use by internal partners, such as compliance and business lines, and providing legal advice and...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
    US Bank (05/31/25)
    - Related Jobs

  • Issuer Services Qualifications Analyst

    OTC Markets Group Inc (Washington, DC)
    …NQB are each an SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker-dealer, member SIPC. Applicants have rights under the federal ... shareholders. + Conduct daily reviews of companies to ensure continued compliance , including reviewing company financial reports, news and corporate action history.… more
    OTC Markets Group Inc (05/03/25)
    - Related Jobs

  • Manager, Investment Services

    Atria Wealth Solutions (Dublin, CA)
    …learn more about CUSO Financial Services, LP visit www.cusonet.com . CFS (Member FINRA /SIPC) is a registered broker-dealer and SEC Registered Investment Advisor ... + Oversee the completion of all required Credit Union compliance training and those mandated by the broker-dealer. +...training content for branch teams and vet content with Compliance and our broker-dealer partner, and ensure monthly training… more
    Atria Wealth Solutions (05/15/25)
    - Related Jobs

  • Sr. Advisor, PCG Branch Exams

    Raymond James Financial, Inc. (NY)
    … compliance and/or branch exams + Rules and regulations of the SEC , FINRA , and state securities regulatory agencies + Fundamental investment concepts, ... and Responsibilities** + Execution of the risk-based branch exam program in FINRA -registered and non-registered Private Client Group branches across the country +… more
    Raymond James Financial, Inc. (05/09/25)
    - Related Jobs