- Raymond James Financial, Inc. (CO)
- … compliance . + Rules and regulations of: Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); state securities regulatory ... through education and experience in retirement plan and/or recordkeeper compliance to administer and manage ERISA and DOL ...compliance to administer and manage ERISA and DOL compliance for the firm. Leads major projects, programs, or… more
- Mizuho Corporate Bank (New York, NY)
- …technology. Deep understanding of financial regulations and industry standards ( SEC , FINRA , GDPR, etc.) Key Outcomes: + Improved compliance monitoring and ... Join Mizuho as a Business Analyst IT for Compliance Technology! In this role you will bridge...will bridge business needs and IT solutions within the compliance field. This role involves analyzing requirements, designing technology… more
- TD Bank (New York, NY)
- …laws, rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA , SEC , CFTC, NYSE, and OCC. + Excellent oral and written ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $115,000 - $185,000 USD TD is...We are looking for a Vice President, US Markets Compliance Advisory to join our team in NYC. The… more
- TD Bank (New York, NY)
- …securities laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA , SEC , CFTC, NYSE, FED and OCC. + Excellent oral and written ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is committed to providing fair… 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
- 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
- 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
- JPMorgan Chase (New York, NY)
- …quantitative risk modeling; working within US regulatory requirements release from CFTC, SEC , FINRA rules; analyzing market and credit risk factors; Managing ... through the regulatory requirements and rules released by CFTC, SEC , FINRA for North America Legal Entities,...reporting requirements, and the management of securities-based swaps; ensuring compliance with FINRA rules, related to the… more
- TD Bank (New York, NY)
- …+ Deep understanding of investment banking products, services, and regulatory frameworks (eg, FINRA , SEC , MiFID II) + Demonstrated success in building and ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000 USD TD is...experienced and strategic Senior Conflict Manager to join our Compliance Control Room. This role is critical in managing… more
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