- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Monitors regulatory compliance with internal and external groups including auditors, FINRA , IRS, SEC , and others. + Establishes objectives with a sense of ... Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority ( FINRA ), Series 7_TR - Sec Trader - Financial Industry Regulatory Authority ( FINRA ),… more
- Navy Federal Credit Union (Lexington Park, MD)
- …account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations + Conduct review of accounts to communicate ... for smaller dollar volume, and less complex, accounts in compliance with Navy Federal and NFIS policies and procedures...documentation and processes comply with Navy Federal standards and FINRA , NASAA, SEC and other regulatory agencies… more
- Navy Federal Credit Union (San Diego, CA)
- …records and ensure compliance with Securities and Exchange Commission ( SEC ), FINRA , other regulatory agency rules and Navy Federal guidelines/policies. ... of broker/dealer operations methods, and procedures + Working knowledge of SEC and FINRA regulations regarding the maintenance of securities records + Upon… more
- Navy Federal Credit Union (Honolulu, HI)
- …and document basic account activity and execution per NFFG process and procedures and FINRA , NASAA, SEC regulations + Conduct periodic review of accounts to ... Develop a beginning pipeline of internal/external referral sources in compliance with Navy Federal policies and procedures and guidelines...in order to comply with Navy Federal standards and FINRA , NASAA, SEC and other regulatory agencies… more
- TEKsystems (Charlotte, NC)
- …escalated issues and ensure regulatory compliance . + Maintain up-to-date knowledge of FINRA , SEC , and state regulations. What to Expect + Career Advancement: ... + Serve as the primary support for advisors regarding compliance , registration, and FINRA licensing requirements. +...general securities, and other financial products. + Familiarity with FINRA , SEC , and state regulations. + Licensing… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …budgets and other financial analysis reports for complex business units (in compliance with GAAP, SEC , and regulatory requirements). Works with Technology ... with current accounting pronouncements that impact the business ensuring compliance with GAAP, SEC , and FHC rules...ability to obtain within 120 days (as required by FINRA ), may be required depending on assigned functional area.… more
- Raymond James Financial, Inc. (West Palm Beach, FL)
- …65 or Series 66_RA - Investment Adv Rep - Financial Industry Regulatory Authority ( FINRA ), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority ... maintaining a commitment to excellent service. + Responsible for compliance oversight and ensuring adherence to firm and regulatory...FINRA ), Series 8 or Series 9/10_SU - Gen Sec Sales Supervisor - Financial Industry Regulatory Authority (… more
- TD Bank (Portsmouth, NH)
- …client books conform to all legal and regulatory requirements and guidelines associated with FINRA , SEC , and TD Bank + Ensures only approved products and ... administration of Client accounts and coordination of services in compliance with Company policies and applicable laws and regulations...management **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- Scotiabank (New York, NY)
- …or commercial bank or institutional broker-dealer is preferred. + Familiarity with applicable SEC , FINRA , CFTC, NFA, Federal Reserve and state banking rules ... Manager, Compliance Testing **Requisition ID:** 223397 **Salary Range:** 90,000.00...**Overview** Contributes to the overall success of the GBM&T Compliance Department in the US ensuring specific individual goals,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- … reviews. + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities regulatory ... them accordingly. + Coaches, trains, and mentors less experienced Compliance Specialists. + May serve as a "team lead"...May serve as a "team lead" for more junior compliance associates including potentially assisting in the talent selection… more