• Senior Compliance Analyst - Park Avenue…

    Guardian Life (Annapolis, MD)
    …will conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...+ Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations… more
    Guardian Life (06/14/25)
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  • Financial Advisor - Lexington Park or

    Navy Federal Credit Union (Waldorf, 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 (07/18/25)
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  • Investment Advisor

    Navy Federal Credit Union (North Richland Hills, TX)
    …account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations. + Conduct review of accounts to communicate ... an internal pipeline for smaller dollar volume 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 (07/12/25)
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  • Sr. Advisor, PCG Compliance

    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 ... certification to ensure the tactical and strategic success of the firm's PCG Compliance program. Responsibilities include but are not limited to providing advice and… more
    Raymond James Financial, Inc. (07/23/25)
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  • Compliance Officer

    M&T Bank (Boston, MA)
    … compliance questions from firm personnel. + Research and interpret applicable FINRA , SEC , and other SRO rules as applicable to broker-dealer activities. ... affiliate of M&T Bank. As a member of our Compliance team, you will serve an important role in...promoting a culture of ethical conduct and commitment to compliance with securities regulation. You will have the opportunity… more
    M&T Bank (07/23/25)
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  • Senior Manager, CIB & Research Compliance…

    Scotiabank (Houston, TX)
    Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary Range:** 99,790.00 - 190,995.00 _Please note that the Salary Range shown is a ... across industries! We work together to drive ambition for every future! **Purpose** The Compliance Officer will operate as a member of the CIB & Research … more
    Scotiabank (07/23/25)
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  • Senior Compliance Officer - Surveillance,…

    TD Bank (New York, NY)
    …Help to ensure TDS meets regulatory requirements as it relates to surveillance data (eg, SEC , CFTC, NFA, FINRA , FCA, CIRO, etc.) and aligns with internal ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $135.000 USD TD is...details for this role. **Job Description:** The TD Securities Compliance team is seeking a Senior Compliance … more
    TD Bank (07/22/25)
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  • Director, US Markets Compliance Advisory,…

    TD Bank (New York, NY)
    …laws, rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA , SEC , CFTC, NYSE, and OCC including Securities Act, Reg M, SPAC ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000 USD TD is...Description:** We are looking for a Director, US Markets Compliance Advisory to join our team in New York… more
    TD Bank (07/05/25)
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  • Compliance Sr. Manager, GWS Products

    Raymond James Financial, Inc. (St. Petersburg, FL)
    … compliance . + Rules and regulations of: Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); state securities regulatory ... education, experience, specialized training and/or certification to serve as the compliance partner for the Global Wealth Solutions ("GWS") business line,… more
    Raymond James Financial, Inc. (07/02/25)
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  • Compliance Project Manager, OneTrust

    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 ... experience, specialized training, and/or certification in project management, information compliance risk management, and the securities and/or banking industry to… more
    Raymond James Financial, Inc. (07/02/25)
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