- Marex (New York, NY)
- …process. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , MSRB, and other regulatory rules and regulations. + Adhere to ... laws, rules and regulations with the ability to assess firm impact. Specifically, SEC , FINRA , MSRB, and other regulatory organizations. + Excellent understanding… more
- Scotiabank (New York, NY)
- …manage regulatory examinations by evaluating and responding to requests from regulators including SEC , FINRA , NY Federal Reserve, and US Treasury Department. In ... Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary Range:** 180,000.00...equities sales and trading business. + Knowledge of relevant SEC and FINRA rules and regulations pertaining… more
- Marex (New York, NY)
- …process. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , NFA, CFTC and other applicable exchanges. + Adhere to the ... www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Compliance Officer - Swap Advisory who will provide ...the ability to assess firm impact. Specifically, NFA, CFTC, SEC + Comfortable working both independently and in a… more
- TD Bank (Cherry Hill, NJ)
- …Business:** TD Wealth **Job Description:** The Central Supervision Team Lead is a FINRA and SEC regulatory supervisory principal position with the Central Office ... metrics. This role works closely with the supervision, operations, compliance , and risk departments of the US Wealth organization....required + 7+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series… more
- TD Bank (New York, NY)
- …ensuring alignment with strategic objectives + Strong knowledge of regulatory frameworks, including SEC , FINRA , OCC and other relevant bodies + FINRA ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At... **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more… more
- TIAA (Frisco, TX)
- …requires in-depth industry knowledge, regulatory acumen, and a strong understanding of applying FINRA , NAIC, MSRB, and SEC marketing rules. This role also ... marketing compliance , and/or communication review experience. General compliance experience will also be considered. + FINRA... compliance experience will also be considered. + FINRA Series 7. **Preferred Qualifications:** + 5+ years of… more
- SMBC (New York, NY)
- …+ Experience dealing with US financial regulators, including the Federal Reserve, SEC / FINRA , and CFTC/NFA. + Excellent written and oral communication skills, ... competitive portfolio of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory advisory function and is responsible for… more
- Raymond James Financial, Inc. (Memphis, TN)
- …**Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority ( FINRA ), Series 24_TP - Sec Trader Principal - Financial ... and facilities planning, policies and procedures, risk management and compliance , and communications with internal and external customers for...Series 63_AG - Agent - Financial Industry Regulatory Authority ( FINRA ), Series 7_GS - Gen Sec Rep… more
- BMO Financial Group (New York, NY)
- …managed, and monitored in the business/group. The governance framework includes SEC / FINRA regulatory policies, guidelines and provides programs, practices and ... promote transparency, accuracy, consistency across groups. Provides an oversight of SEC Rule 17a-5. Applies specialized knowledge of Accounting & Financial… more
- 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