• Director, Markets Compliance Officer

    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
    Scotiabank (06/26/25)
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  • Senior Compliance Officer - Broker Dealer…

    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
    Marex (05/31/25)
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  • Senior Compliance Officer - Fixed Income…

    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
    Marex (05/30/25)
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  • Principle Review Analyst

    TD Bank (Marlton, NJ)
    …of Business:** TD Wealth **Job Description:** The Principal Review Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office ... new account documentation to ensure adherence to all applicable FINRA and SEC rules regarding client accounts...rules regarding client accounts including Regulation Best Interest and FINRA suitability rules and ensures compliance with… more
    TD Bank (07/22/25)
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  • Product Marketing Director

    Fifth Third Bank, NA (Cincinnati, OH)
    …Experience working in a matrixed organization. + Knowledge of financial regulations (eg, SEC , FINRA ) and compliance best practices. Product Marketing ... in customer research and testing + Partner with product, analytics, legal, compliance , and sales teams to ensure marketing initiatives align with business goals… more
    Fifth Third Bank, NA (07/09/25)
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  • Compliance Professional - Trading…

    US Bank (Minneapolis, MN)
    …This position primarily is responsible for the development and monitoring of USBAM/PFMAM SEC Rule 206(4)-7 Compliance Program as it relates to the oversight ... Compliance (" Compliance Director") with the compliance program under SEC rules 206(4)-7. Develop...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
    US Bank (07/18/25)
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  • Compliance Risk Management Senior Officer…

    JPMorgan Chase (New York, NY)
    …external examinations and audits Required qualifications, capabilities, and skills + Knowledge of SEC , FINRA and MSRB rules relevant to securities trading with ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...regulatory trade reporting, best execution, distribution of issues, and SEC Market Access rule + Strong written and oral… more
    JPMorgan Chase (06/21/25)
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  • Central Supervision Analyst

    TD Bank (Vienna, VA)
    …of Business:** TD Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal position with the Central ... communications. This role works closely with the supervision, operations, compliance , and risk departments of the US Wealth organization....required. + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series… more
    TD Bank (07/17/25)
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  • Compliance Manager, Capital Markets

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …associates, Technology Strategy and Alignment department, Supervision & Supervision management, Compliance & Standards Committee, and FINRA and SIFMA ... compliance . + Rules and regulations of: Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); state securities regulatory… more
    Raymond James Financial, Inc. (07/03/25)
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  • Senior Compliance Director, Head…

    Vanguard (Malvern, PA)
    …and varied understanding of financial markets and products. + Advanced knowledge of FINRA , SEC , state, banking, and trust company regulations and other ... This job may require regulatory license and/or registration (eg FINRA , state). These will be determined by Compliance... FINRA , state). These will be determined by Compliance based on role-specific duties. (Series 7, 14, 24… more
    Vanguard (06/11/25)
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