• Manager, Trade Surveillance - Quality Assurance

    TD Bank (New York, NY)
    …+ Ensure the surveillance department aligns with global regulatory requirements (eg, SEC , FINRA , CFTC, NFA, FCA, MAS, etc.) and industry standards ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $135,000 - $190,000 USD TD is...team). + Surveillance experience at Financial Market Regulator (eg, SEC , FINRA , CFTC, NFA, or Exchange Market… more
    TD Bank (05/22/25)
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  • Associate General Counsel - Broker-Dealer…

    Robert Half Legal (San Diego, CA)
    Description Financial Services Company Seeks Senior Attorney Focused on Broker-Dealer Compliance & FINRA Arbitrations About Firm & Position: A well-established ... is seeking a Associate General Counsel - Broker-Dealer Regulatory Compliance to join its growing corporate legal department. This...JD from accredited law school + Extensive knowledge of SEC , FINRA , and state securities regulations +… more
    Robert Half Legal (07/09/25)
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  • Senior Advisor, Supervision- Dispute Resolution

    Raymond James Financial, Inc. (Memphis, TN)
    …+ Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC ) and platform policies and procedures as they apply ... industry operations + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities… more
    Raymond James Financial, Inc. (07/19/25)
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  • Advisor, Supervision Trade Review

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …and systems. + Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC ) and platform policies and procedures as they apply to ... industry operations + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities… more
    Raymond James Financial, Inc. (07/04/25)
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  • Financial Advisor Trainee (Birmingham, AL)

    Raymond James Financial, Inc. (Birmingham, AL)
    …65 or Series 66_RA - Investment Adv Rep - Financial Industry Regulatory Authority ( FINRA ), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority ... new client development, sales activities, investment management, customer service and compliance with personal and professional growth and development. The Trainee… more
    Raymond James Financial, Inc. (05/02/25)
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  • Institutional Investment Operations Associate

    Wells Fargo (Charlotte, NC)
    …understanding of regulatory implications for FATCA, Dodd Frank, EMIR, OFAC, Patriot Act, SEC , CFTC and FINRA regulations + Account management experience + ... liaise with external and internal customers to comply with all operational, compliance , regulatory and internal policies as part of the client onboarding process.… more
    Wells Fargo (07/23/25)
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  • Manager, Supervision- Advertising Review

    Raymond James Financial, Inc. (Memphis, TN)
    …**Knowledge, Skills, and Abilities:** **Knowledge of:** * Relevant rules and regulations under FINRA 2210 and SEC Advertising Rules * Relevant rules and ... **Job Description Summary** Manages a team of compliance and audit officers and specialists to conducts...including branch managers/FAs. * Ability to review and interpret SEC No-Action Letters and FINRA Notices to… more
    Raymond James Financial, Inc. (06/25/25)
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  • Lead Client Services Officer

    City National Bank (Los Angeles, CA)
    …objectives, risk tolerance, time horizon, financial status, and other investment needs in compliance with FINRA regulations and CNS policies and procedures. * ... and approves CNS written and electronic correspondence for accuracy and compliance . Overseas the risk associated with the operational and administrative aspects… more
    City National Bank (07/12/25)
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  • VP, Operations Mutual Funds

    Raymond James Financial, Inc. (Southfield, MI)
    …Monitors regulatory compliance with internal and external groups including auditors, FINRA , IRS, SEC and others. **Knowledge Of:** + Company's working ... General Securities Representative Examination - Financial Industry Regulatory Authority ( FINRA ), s99 - Operations Professional Examination - Financial Industry… more
    Raymond James Financial, Inc. (07/23/25)
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  • WM Affluent Associate

    US Bank (Franklin, TN)
    …- Experience with the policies, processes and procedures of the brokerage industry, FINRA and SEC regulatory standards and all applicable regulatory bodies, ... to discuss joint business initiatives. Other duties as assigned based upon FINRA licensure. **_T_** **_his role has multiple levels, open to candidates with… more
    US Bank (07/12/25)
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