- 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
- 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
- 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
- SMBC (Jersey City, NJ)
- …and escalating suspicious or non-compliant events. The candidate will need to consider FRB, FINRA , SEC and CFTC rules, as well as internal policies. **Role ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… 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
- First Horizon Bank (Memphis, TN)
- …hire + Solid working knowledge of the regulatory principles: MSRB, Federal Reserve, SEC , and FINRA + Effective experience communicating and interacting with ... **Description** FHN Financial is seeking an experienced, licensed Compliance Officer to provide primary compliance surveillance, reporting, and guidance for all… more
- 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Responsibilities** + Proactively ensures compliance with applicable industry rules (ie State, FINRA & SEC ) and platform policies and procedures as they apply ... (DOL); Employee Retirement Income Security Act (ERISA); Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state… more
- 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
- Raymond James Financial, Inc. (Newtown, PA)
- …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