• Complex Administrative Manager (Memphis, TN)…

    Raymond James Financial, Inc. (Memphis, TN)
    …65 or Series 66_RA - Investment Adv Rep - Financial Industry Regulatory Authority ( FINRA ), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority ... an important area of responsibility within a function, ensuring compliance with external requirements and integration with the broader...FINRA ), Series 8 or Series 9/10_SU - Gen Sec Sales Supervisor - Financial Industry Regulatory Authority (… more
    Raymond James Financial, Inc. (05/02/25)
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  • Senior Counsel, Personal Investor Retail Brokerage

    Vanguard (Malvern, PA)
    …and Risk shared service partners. The ideal candidate will have experience with FINRA , SEC , and related regulations, and general knowledge of broker-dealer, ... AI solutions, and related strategic initiatives. + Advise on FINRA , SEC and related regulations with a...support regulatory exams, inquiries and actions. + Collaborate with Compliance , Risk, Audit and other shared service functions, to… more
    Vanguard (06/19/25)
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  • Sr. Accountant

    Robert Half Finance & Accounting (Chicago, IL)
    …compiling, analyzing, and submitting accurate regulatory reports to relevant agencies, including the SEC , FINRA and CME, ensuring the brokerage firm adheres to ... trading mechanisms, and relevant financial instruments. + Thorough knowledge of NFA, SEC , FINRA , and other applicable securities regulations. + Proficiency in… more
    Robert Half Finance & Accounting (07/24/25)
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  • Asset & Wealth Management - Vice President…

    JPMorgan Chase (New York, NY)
    …with Compliance and Legal teams in order to help ensure adherence to SEC , FINRA and firm regulations and guidelines + Attend alternative investments team ... live client calls and filmed webcasts to help ensure compliance with rules, regulations and polices + Work with...in alternative investments and marketing review + Familiarity with SEC and FINRA regulations on marketing +… more
    JPMorgan Chase (06/13/25)
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  • REMOTE Compliance Associate

    Insight Global (Tampa, FL)
    …all retail communication complies with states and federal laws, state insurance regulations, FINRA and SEC rules and regulations, and internal company standards. ... local to the Tampa area is looking for 2 Compliance Associates to sit within the securities brokerage and.... Skills and Requirements -3 years of experience within compliance in a financial environment -Series 7 & 24… more
    Insight Global (07/15/25)
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  • Financial Advisor

    Atria Wealth Solutions (King, NC)
    …by OSJ and follow the rules and regulations set forth by the credit union, FINRA , SEC and the broker/dealer. + Accountable for meeting annual business plan and ... opportunity to serve you. + Completion of all required compliance training to include BSA. + Meet or exceed...CUSO Financial Services, LP ("CFS"), a registered broker-dealer (Member FINRA /SIPC) and SEC Registered Investment Advisor. Products… more
    Atria Wealth Solutions (05/24/25)
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  • Complex Manager - Delaware Valley

    Raymond James Financial, Inc. (Philadelphia, PA)
    …**Work Experience** General Experience - 3 to 6 years **Certifications** GS - Gen Sec Rep - Financial Industry Regulatory Authority ( FINRA ), RA - Investment Adv ... FINRA ), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority ( FINRA ), SU - Gen Sec Sales Supervisor - Financial Industry… more
    Raymond James Financial, Inc. (05/10/25)
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  • Broker-Dealer & Cash Equities Attorney - Vice…

    JPMorgan Chase (New York, NY)
    …as well as regulators, including the US Securities and Exchange Commission ( SEC ), Financial Industry Regulatory Authority ( FINRA ) and other Self-regulatory ... and control issues + Assist in regulatory examinations, inquiries and investigations by the SEC , FINRA and other SROs and regulators + Attend meetings with line… more
    JPMorgan Chase (06/11/25)
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  • Senior Counsel- Legal & Wealth Management

    City National Bank (Jersey City, NJ)
    …advise on a broad range of matters under the banking and securities laws, including the SEC , FINRA , OCC, FRB, and FDIC, help resolve issues as they arise, and to ... legislation, new product development, and documentation and in dealings with the OCC, SEC , FINRA and other US regulatory authorities. * Conduct research and… more
    City National Bank (07/04/25)
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  • Investment Relationship Officer

    City National Bank (Los Angeles, CA)
    …of Client Service or Operational experience at a Broker Dealer. * Knowledge of SEC and FINRA rules and regulations. * Knowledge of National Financial Systems ... and coding updates when policy and procedures change. Prepare all required SEC 17AC3-4(books and records) documents, letters, and correspondence needed for Program… more
    City National Bank (07/16/25)
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