- City National Bank (New York, NY)
- …traded funds, etc. * Understanding of trading workflows including pre-trade and post-trade compliance rules subject to SEC , FINRA , ERISA, and banking ... - Investment Analytics and Trade Monitoring will establish and develop the Compliance Trade Oversight Program by leading, configuring, and overseeing the design,… more
- TD Bank (Boston, MA)
- …+ Extensive understanding of current compliance and regulatory issues (OCC, SEC , FINRA , and State Securities Regulators) + In-depth knowledge of OCC, ... partnering with US Wealth Senior Leadership Team, Federated Partners ( Compliance , Legal), and AMCB Consumer Bank teams to ensure...emerging issues and trends from key regulatory bodies including FINRA , SEC , OCC + Partners with Senior… more
- Raymond James Financial, Inc. (New York, NY)
- …of:** + Securities industry compliance practices, concepts, and procedures. + SEC , FINRA , FRB Bank Holding Company, and state regulatory frameworks. + ... a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation,...risks associated with Capital Markets activities, ensuring adherence to SEC , FINRA , FRB Bank Holding Company, and… more
- Insight Global (New York, NY)
- …Mobile Device Management (MDM) and Mobile Application Management (MAM). Experience must align with compliance standards such as SEC , FINRA , SOX, and GLBA. ... Microsoft Intune, MobileIron, Microsoft Endpoint Manager, and mobile device compliance policies. - Security and Compliance Knowledge...in a highly compliant environment with standards such as SEC , FINRA , SOX and GLBA - Scripting… more
- City National Bank (Los Angeles, CA)
- …* Analyze marketing material for compliance with regulatory standards including, SEC , FINRA and MSRB * Provide consultation to internal business partners ... be employed by City National Bank. *The Opportunity* The Compliance Officer will work closely with the members of...with the members of a team focusing on regulatory compliance issues with respect to marketing and other investor/third… more
- Insight Global (New York, NY)
- …* Analyze marketing material for compliance with regulatory standards including, SEC , FINRA and MSRB * Provide consultation to internal business partners ... Job Description The Compliance Officer will work closely with the members...with the members of a team focusing on regulatory compliance issues with respect to marketing and other investor/third… more
- HUB International (New York, NY)
- …Chief Compliance and Risk Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures. ... SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and...growing RPW business while mitigating risk and enhancing the SEC compliance infrastructure. **Job Summary:** The **Deputy… more
- Aegon Asset Management (Denver, CO)
- …accurate and on time to prevent non- compliance with regulatory authorities (ie FINRA , SEC , IOI, etc.) and auditors. + Verify when deposits/funding are ... needed. + Follow administrative procedures to ensure segregation of duties in compliance with SOX. + Communicate with multiple third party providers regarding… more
- CIBC (New York, NY)
- …of daily sales and trading activities of CIBC's derivatives businesses to assess overall compliance with CFTC and SEC rules pertaining to swaps implemented under ... program to support the initiative is implemented; + Conducting Compliance training on matters pertaining to CFTC, SEC...a plus; + Experience as a regulatory examiner with SEC , NFA or FINRA (NFA or … more
- JPMorgan Chase (Pittsford, NY)
- …expertise in managing and overseeing compliance efforts. + Knowledge of FINRA , MSRB, and SEC rules and regulations, ensuring adherence to industry ... active Series 7, 9/10 (or 4, 24, and 53), 66 (or 63/65) FINRA licenses, ensuring compliance with industry standards. + Valid and active Life, Health, and Long… more