- 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
- Robert Half Legal (Charlotte, NC)
- …expertise? We're looking for a Compliance Manager to lead and shape the compliance program for an SEC -registered investment adviser. This is your chance to ... adherence to SEC regulations ✔️ Prepare for SEC audits, annual compliance reviews, and monitor...global fundraising requirements + Opportunity to master tools like FINRA IARD and regulatory filings like Form ADV and… more
- Wells Fargo (New York, NY)
- …(Regulation AB), Regulation RR, Volcker Rule, TRACE, and other applicable FINRA , SEC , FRB, and OCC rules. + Provide compliance advisory support for ... role:** We are seeking a highly experienced Senior Lead Compliance Officer to support the Structured Products Group (SPG)...degree or certification (JD, CRCM, etc.). + Expertise in FINRA , SEC , FRB, and OCC regulations related… more
- Equitable (Charlotte, NC)
- …our internal business lines and corporate marketing teams. All reviews are based on FINRA , SEC , and state securities and insurance regulations, as well as ... Advertising Compliance Reviewer ( 250000DU ) **Primary Location** :...marketing, and business areas. + Established working knowledge of FINRA (Rule 2210), SEC and state securities… 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
- Lincoln Financial (Greensboro, NC)
- …for internal, financial professional and public audiences. Comprehensive knowledge of state, FINRA / SEC regulations is required as well as diplomatic and public ... * Acting as subject matter expert regarding firm and regulatory guidelines including FINRA , SEC , NAIC and various individual states. * Directing and enhancing… more
- 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
- CIBC (New York, NY)
- …Trading, Derivatives, Investment Banking, Commodities and brokerage operations. + Solid understanding of FINRA , SEC and NYSE rules and regulations + Knowledge of ... and risk management experience + Prior experience working at a securities regulator ( FINRA , SEC , NYSE) highly preferred + Former role as a commissioned… 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
- TD Bank (Mount Laurel, NJ)
- …actions, as required + Executes all administration required to comply with FINRA , SEC and State Insurance Regulators regarding Registered Representatives, ... role will also lead first-line engagement and activities with Compliance and Legal with respect to Office of Supervisory...for all financial reporting associated with and/or required by FINRA or the SEC and the maintenance… more