- Principal Financial Group (Des Moines, IA)
- …to guide it with legal issues resulting from regulatory requirements, including those of FINRA , the SEC , the Department of Labor, and states. + Provide ... its legal needs. This attorney will partner with the business units, our compliance team, and other attorneys to help respond to regulatory examinations and… more
- Bank of America (New York, NY)
- …of sales/trading activity. **Position Description:** + Understanding of US Equity Regulations, particularly SEC , FINRA , CFTC + Coordinate with IT to create and ... line of business, COO and other support functions (eg Compliance , Operational Risk). Responsible for creating, enhancing and overseeing...Oversee, develop, maintain and enforce the supervisory program + FINRA series 7, 63, 57, 4 & 24 licensed… more
- KeyBank (Lea County, NM)
- …external stakeholders. + Support internal and external audits. (ie, EY, Internal Audit, FINRA , SEC , NFA, CFTC) **Qualifications:** + Minimum 3 years of ... broker. The consultant will drive process improvements, ensure regulatory compliance , and support operational readiness across derivatives and securities workflows.… more
- Principal Financial Group (Des Moines, IA)
- …contract documents + Legal issues on insurance product regulatory requirements, including applicable SEC , IRS, DOL, FINRA and state insurance rules + Discussions ... + Must use risk assessment and mitigation skills to collaborate with Risk and Compliance to help the business make risk-astute decisions + Some travel may be… more
- Truist (Winston Salem, NC)
- …+ Provides support for LOB information enhancement initiatives. + Prepares/reviews of SEC and Regulatory disclosures and financial filings to ensure the SOX Control ... + Preparation, review and oversight of quarterly and annual SEC and Regulatory disclosures and other financial filings. +...submission of other regulatory reports and filings - eg FINRA FOCUS II report; Form SIS, Form SSOI, Form… more
- MUFG (Tempe, AZ)
- …key risks associated with Application Development (System Development Lifecycle) Dev/ Sec /Ops, deployment pipeline, and cloud architecture. + Demonstrated experience ... + Experience with key risks associated with Application Development (SDLC) Dev/ Sec /Ops, deployment pipeline, and cloud architecture. + Skilled experience with… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Work Experience** General Experience - 3 to 6 years **Certifications** GS - Gen Sec Rep - Financial Industry Regulatory Authority ( FINRA ) **Travel** Less than ... that adequate internal controls and procedures are followed, ensuring compliance with Sarbanes Oxley. + Oversees and assists team...ability to obtain within 120 days (as required by FINRA ), may be required depending on assigned functional area.… more
- MUFG (Tampa, FL)
- … 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
- Citigroup (Getzville, NY)
- …regulatory filing preparation and submission of daily, weekly, and bi-weekly reports to OFR, FINRA , and FRB of NY. This role will also take part in routine ... Interest, Covered Securities Loan transactions, and Portfolio Margining to FINRA , and FR 2004 to the Federal Reserve. +...and external audits. + Maintain communication with the Business, Compliance , IT, and the Control & Reconciliation Group to… more