- Guardian Life (Nashville, TN)
- …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
- TD Bank (Greenville, SC)
- …of Business:** TD Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal position with the Central ... communications. This role works closely with the supervision, operations, compliance , and risk departments of the US Wealth organization....required. + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series… more
- TD Bank (Marlton, NJ)
- …of Business:** TD Wealth **Job Description:** The Supervision Controls Specialist is a FINRA and SEC regulatory supervisory principal role assisting in the ... all departments within the US Wealth organization, but specifically with Compliance , Legal, Distribution, Product, Risk, Operations, and Technology. **Depth &… more
- TD Bank (New York, NY)
- …preferred. + Working knowledge of US Electronic and Algo Trading rules and regulations, more specifically FINRA and SEC (eg, SEC Reg NMS, SEC Reg SHO, ... with management / control function partners (eg Risk, Legal, Compliance , AML and Audit) to assess risks, develop and...controls to address regulatory and best practice requirements (eg SEC Rule 15c3-5, NI 23-103, MiFID RTS6). + Present… more
- Charles Schwab (Lone Tree, CO)
- …Investment Adviser and/or Investment Company experience required + Understanding of FRB, SEC , FINRA , OCC, Privacy and Anti-Money Laundering rules and regulations ... "challenge the status quo" and transform the finance industry together. The Compliance Department coordinates Schwab's compliance efforts, and performs an… more
- Santander US (Dallas, TX)
- …expert on regulatory compliance requirements, particularly with OCC, FRB, CFPB, SEC , and FINRA . + Proactively engage with regulators, demonstrating the ... Sr. Director, Compliance Testing Country: United States of America **Your...to You!** **The Difference You Make:** The Senior Director, Compliance Testing will provide strategic leadership and oversight of… more
- 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
- Raymond James Financial, Inc. (New York, NY)
- … compliance . + Rules and regulations of: Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); state securities regulatory ... **Essential Duties and Responsibilities** + Oversees compliance and risk-related training and education processes in...key stakeholders. + May coach, train, and mentor others Compliance associates. + May coordinate with stakeholders to develop… more
- Guardian Life (New York, NY)
- …and efficiencies. **You have** + Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations along with a familiarity of ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...Do you want to be part of a collaborative Compliance Legal Team? The Compliance Analyst, Park… more
- Citigroup (New York, NY)
- …+ Expertise of Compliance laws, rules, regulations, risks and typologies ( FINRA , SEC ) + Excellent written, verbal and analytical skills + Must ... Serves as a function/business/product compliance risk officer as a **Senior Vice President...officer as a **Senior Vice President for Equities Independent Compliance Risk Management (ICRM)** responsible for establishing internal strategies,… more