- 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
- TD Bank (New York, NY)
- …broker dealer or regulator, Branch Inspections testing a plus. + Strong knowledge of SEC , FINRA and other relevant regulatory requirements. + Strong Knowledge of ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is...Inspections both remotely and in person in accordance with FINRA RULE 3110 + Lead branch inspections and execute… more
- 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
- Raymond James Financial, Inc. (Memphis, TN)
- …Exchange Commission ( SEC ), Investment Advisers Act of 1940 and SEC regulatory environment; Financial Industry Regulatory Authority ( FINRA ); state securities ... **Essential Duties and Responsibilities** + Oversees compliance exception reporting processes and approves corrective actions....corrective actions. + May coach, train, and mentor others Compliance associates. + May assist with the development and… more
- 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
- GE Vernova (New York, NY)
- …investment advisers and private equity. + Experience with and understanding of compliance obligations for broker-dealers which are FINRA -member firms. + ... **Job Description Summary** GE Vernova's Ethics & Compliance Team is seeking an experienced regulatory compliance professional that will partner with GE… more
- 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
- TD Bank (Greenville, SC)
- …the Office of Currency Comptroller (OCC), Securities and Exchange Commission ( SEC ) and Financial Industry Regulatory Authority** **( FINRA )** **Customer ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD...deadlines** + **Experience presenting to management and regulators** + ** FINRA series 7 and 24** + **Life and Health… more
- T. Rowe Price (Baltimore, MD)
- …make a difference in ways that matter to you . Role Summary Investment Compliance is a dynamic team within Global Investment Operations. The team is responsible for ... and proven leader to drive the evolution of our compliance function for the North America team, applying a...understanding of relevant regulatory regimes and global jurisdictions (eg, SEC , FCA, UCITS, MiFID, etc.) + Demonstrated proficiency with… more
- BlackRock (New York, NY)
- …experience, product knowledge and knowledge of applicable rules and regulations, in particular FINRA Rule 2210 and the SEC Investment Adviser Marketing Rule. ... **About this role** **Business Unit Overview:** Blackrock's Compliance Department protects Blackrock's reputation and provides client focused advice. It understands… more