- 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
- 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
- TD Bank (San Francisco, CA)
- …Research against Investment Banking transactions. + A working knowledge of applicable FINRA rules, SEC rules and relevant industry standards. + Understanding ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is...this role. **Job Description:** We are seeking a VP Compliance professional to join our TD Securities US Control… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …infrastructure. + Privacy risk management. + Relevant risk based regulatory schemes. + FINRA , SEC , FRB and other regulations relevant to management of privacy. ... associates, budget, reporting structure, and division of responsibilities within Compliance department. + Oversees the privacy impact assessments (PIAs), data… 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 ... assess privacy-related risk with business partners to identify and address privacy-related compliance gaps or areas of privacy risk in support of business… more
- 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
- 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
- TD Bank (New York, NY)
- …the US Wealth and broader AMCB businesses + Remains knowledgeable of all OCC, FRB, SEC , FINRA and state regulatory requirements as they pertain to US Wealth ... maintain high ethical standards + Manages assigned employees in compliance with all HR policies, procedures, and guidelines of...+ 65 or 66 and Series 24 Supervising Principle FINRA Registrations; Health and Life Insurance Licensure + Knowledge… more
- Santander US (Boston, MA)
- …is to identify, evaluate, and document trades for suitability in accordance with FINRA rules and industry regulations. Will reviews new accounts, trade activity and ... * Identifies, evaluates and documents trades for suitability in accordance with FINRA rules and industry regulations. * Reviews and assesses suitability associated… 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