• JP Morgan Wealth Management - Vice President…

    JPMorgan Chase (Portland, OR)
    …Degree. + Experience in supervisory or compliance roles. + Knowledge of FINRA , MSRB, and SEC rules. + Strong critical thinking and analytical skills. ... lead and oversee a territory of Financial Advisors, ensuring compliance with regulatory obligations and managing operational risk. You...+ Familiarity with office software applications. + Must hold FINRA Series 7 and one or more of the… more
    JPMorgan Chase (07/11/25)
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  • Compliance Tester III, Principal Associate

    Capital One (Mclean, VA)
    Compliance Tester III, Principal Associate Capital One is a...swap dealer + 4+ years of experience with NFA, FINRA SEC or CFTC + Proficient knowledge of ... (NFA), Commodities Futures Trade Commission (CFTC), Securities and Exchange Commission ( SEC ), Financial Industry Regulatory Authority ( FINRA ), and Flood Disaster… more
    Capital One (06/26/25)
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  • Compliance Officer - Vice President

    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
    Arena Investors LP (05/13/25)
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  • Financial Advisor

    First National Bank of Omaha (Fort Collins, CO)
    …the community. + Compliance & Ethics: Uphold bank policies, laws, and FINRA / SEC regulations, ensuring compliance with the bank's BSA/AML Program as ... experience. + 3 years of experience in the investment or financial services industry. + FINRA Series 7 and 66 (or Series 63 & 65) registrations. + State Life,… more
    First National Bank of Omaha (07/11/25)
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  • Financial Advisor - Plano

    First National Bank of Omaha (Frisco, TX)
    …the community. + ** Compliance & Ethics:** Uphold bank policies, laws, and FINRA / SEC regulations, ensuring compliance with the bank's BSA/AML Program as ... experience. + 3 years of experience in the investment or financial services industry. + FINRA Series 7 and 66 (or Series 63 & 65) registrations. + State Life,… more
    First National Bank of Omaha (06/07/25)
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  • Market Risk Governance Associate

    SMBC (New York, NY)
    …securities products. **Role Objectives: Delivery** 1. Maintain entity level Risk Governance in compliance with CFTC/NFA and SEC / FINRA regulations and uphold ... Associate will collaborate with teams in the Front Office, Finance, Accounting, Compliance , Legal, and Audit, while leveraging resources within the Risk Management… more
    SMBC (05/20/25)
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  • Compliance Controls Inventory Associate

    SMBC (Jersey City, NJ)
    …should have functional knowledge of either US securities/commodities laws and regulations ( SEC , CFTC, FINRA ) or US banking/prudential laws and regulations (FRB, ... SMBC Group is seeking an Associate to join the Compliance Controls Inventory team, which is a part of...management experience. + Familiarity with either US securities/swaps regulations ( SEC , CFTC, FINRA ) and/or US banking laws… more
    SMBC (07/24/25)
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  • Compliance Risk Assessment

    SMBC (Jersey City, NJ)
    …controls. Additionally, strong knowledge of either US securities/commodities laws and regulations ( SEC , CFTC, FINRA ) or US banking regulations (eg, Federal ... to drive monitoring and testing activities and to prioritize Compliance and other resources as new emergent risks are...banking regulations (FRB, FDIC, CFPB) or securities/swap dealer regulations ( SEC , CFTC, FINRA , NFA) and related products… more
    SMBC (07/12/25)
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  • Compliance Supervisor - Navy Federal…

    Navy Federal Credit Union (North Richland Hills, TX)
    …compliance related activities performed by registered representatives at NFIS, LLC member FINRA /SIPC and an SEC Registered Investment Advisory Firm as well as ... activities through NFIS online offerings. Provide effective compliance guidance for insurance activities through Navy Federal Financial Group, LLC, an insurance… more
    Navy Federal Credit Union (07/24/25)
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  • Senior Manager, Capital Markets Governance…

    BMO Financial Group (New York, NY)
    …requires four days onsite at our New York office. Our ideal candidate has a SEC / FINRA examiner background with broker dealer experience including SEC 15c3 ... experience, possessing a strong understanding of broker dealer operations and SEC / FINRA regulations. If you have dealt with trading intricacies and have… more
    BMO Financial Group (07/09/25)
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