- TD Bank (New York, NY)
- …securities laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA , SEC , Exchange Level SROs including NYSE, NASDAQ & CBOE. + ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $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. (St. Petersburg, FL)
- …state banking regulatory agencies + Knowledge of Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); state securities ... Duties and Responsibilities** + Oversees elements of the RJ Bank compliance program(s) to ensure regulatory requirements are addressed, including: + Insider… more
- Citigroup (New York, NY)
- …Strong knowledge of and comfort with providing Compliance guidance in relation to applicable FINRA and SEC rules including REG SHO, 5320, Reg M. + Providing ... Serves as a senior function/business/product compliance risk officer covering North American Cash Equities...the franchise. In addition, engages across the various Markets Compliance product and function coverage teams, in order to… more
- 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
- 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:** $150,000 - $185,000 USD TD is...We are looking for a Vice President, US Markets Compliance Advisory to join our team in NYC. The… more
- US Bank (Earth City, MO)
- …and Central Principal (CP), on the assigned market's adherence to FINRA , SEC , MSRB, OCC, and internal compliance policies.** **Manages first line supervision ... Market Leader to assure adherence to FINRA , SEC , MSRB, OCC and internal compliance policies....FINRA , SEC , MSRB, OCC and internal compliance policies. **Performs delegated supervisory functions including but not… more
- Navy Federal Credit Union (Honolulu, HI)
- …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 (San Diego, CA)
- …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
- Zoom (Hartford, CT)
- …not only customer-centric innovation but also adherence to regulatory standards (eg, FINRA , SEC , GDPR, data retention, archiving). You will maintain ... What you can expect As a Group Product Manager for Financial Services & Compliance , you will lead strategy and execution for Zoom's product offerings tailored to the… more