- SMBC (Jersey City, NJ)
- …laws and regulations (eg, Federal Reserve Bank, NYDFS, FDIC, OCC, CFTC, NFA, FINRA , SEC , MSRB). + Experience working with regulators, specialized regulatory ... business degree or JD Degree preferred. + Former regulator, compliance , and/or attorney/legal background. Established relationships with industry and regulators… more
- MUFG (Tempe, AZ)
- … with applicable rules and guidance impacting the TPRM program including OCC, FBR, FDIC, SEC , FFIEC, FINRA ; in addition to other US regulators (eg, NY Department ... committees. + Provide oversight for outsourced TPM activities - ensuring compliance with expected performance and contractual terms and SLAs. + Responsible… more
- T. Rowe Price (Owings Mills, MD)
- …and collaborates with business teams and oversight partners, such as Compliance , and develops the legal response/position for issues identified. + Maintains ... productive relationship with relevant regulators (particularly, SEC ), external and internal clients, and board of directors....and Trading groups as well as other attorneys and compliance teams + Ability and intent to (1) create… more
- MUFG (New York, NY)
- …Advise on legal structuring, asset eligibility, risk retention, disclosure issues, and SEC , FINRA , and other applicable regulatory requirements. + Coordinate ... with outside counsel and internal stakeholders, including Compliance , Risk, and Credit, to ensure legal and regulatory alignment. + Support the development of new… more
- Citigroup (Tampa, FL)
- …Investments, Insurance products + Working knowledge of securities and bank - side regulations ( FINRA , SEC , OCC, FCA, HKMA, SMA) + Demonstrated track record of ... in, and at times leading, key projects critical to the operation and compliance /risk management of the business + Extensive interaction with global product teams and… more
- Capital One (Mclean, VA)
- …Securities, a broker dealer registered with the Financial Industry Regulatory Authority ( FINRA ) and the Securities Exchange Commission ( SEC ). Candidates should ... etc.) + Perform regulatory net capital computation and ensure compliance with regulatory guidance + Responsible for monthly account...background check to qualify as a fingerprinted person under FINRA + Currently has, or is in the process… more
- Equitable (Philadelphia, PA)
- …benefits and wealth-building programs + Our competitive payouts + Our operation and compliance infrastructure support * LPL Financial, member FINRA , SIPC, is the ... Securities offered through Equitable Advisors, LLC (NY, NY ###), member FINRA , SIPC (Equitable Financial Advisors in MI & TN). Investment advisory… more
- US Bank (New York, NY)
- …products + Experience navigating relationships with regulatory authorities, especially the SEC and FINRA + Experience with broker-dealer corporate governance ... Collaborate with other related support functions, such as Risk, Compliance and Regulatory Services + Work with senior leadership...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …including private markets products. + Legal agreement drafting and negotiation. + Relevant FINRA / SEC rules and regulations. + Principles of banking and finance ... both internal clients and functional area representatives including legal, compliance , supervision, operations, and AML. **Essential Duties and Responsibilities:** +… more
- MUFG (Tempe, AZ)
- … with applicable rules and guidance impacting the TPRM program including OCC, FBR, FDIC, SEC , FFIEC, FINRA ; in addition to other US regulators (eg, NY Department ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more