- 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
- 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
- First National Bank of Omaha (Omaha, NE)
- …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 (Plano, 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
- Equitable (Charlotte, NC)
- …drafting Compliance reports. The ideal candidate would demonstrate knowledge of: + SEC , FINRA and State laws, rules, and regulations. + Established knowledge ... Compliance Officer ( 25000075 ) **Primary Location** :...a wholesale distributing broker dealer. + Demonstrated understanding of SEC , FINRA and State laws, rules and… more
- 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 (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
- City National Bank (Charlotte, NC)
- …with quality control, audit or compliance testing is preferred. * Familiar with FINRA and SEC AML rules and regulations * Experience with investor platforms ... BSA Risk Manager, this colleague is responsible for carrying out regulatory/ compliance issuance monitoring, risk assessments, and internal controls testing ensuring… more
- SMBC (New York, NY)
- …SEC -registered investment adviser, ensuring activities are conducted in compliance with applicable regulatory requirements. This includes global policies, ... parent, global operating model. + Direct experience managing regulatory exams (particularly SEC exams). + Fund compliance experience (public and private). +… more
- Marex (New York, NY)
- …Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , Various Securities Exchanges, and other applicable regulatory ... laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA , SEC , Various Securities Exchanges, Options Clearing Corp. and other… more