- 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
- 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
- Thrivent Financial (Appleton, WI)
- …Manual and Written Supervisory Procedures, and rules and regulations of all 50 states, FINRA , and the SEC . The position requires thorough knowledge of investment ... + Advanced levels of analysis and independence + Possesses advanced knowledge of FINRA / SEC /IA/NAIC/MSRB rules and regulations and the ability to interpret and… more
- Raymond James Financial, Inc. (New York, NY)
- …Authority ( FINRA ), Series 63_AG - Agent - Financial Industry Regulatory Authority ( FINRA ), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory ... identify potential clients. + Work with Technology, Operations and Compliance to ensure best practices and to generate ideas...that an exemption or grandfathering cannot be applied. + FINRA Series 7, Series 57 and Series 63 Licenses.… more
- City National Bank (Los Angeles, CA)
- …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 (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
- 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
- Wells Fargo (Charlotte, NC)
- …**In this role, you will:** + Advise on broker-dealer regulatory matters, including FINRA and SEC related requirements + Regulatory advice relating to securities ... and other asset classes + Provision regulatory advice on FINRA / SEC requirements to cover associated conduct of...with the business, LOB Legal and other functions, including compliance and controls + Provide regulatory advice on business… more
- 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 ... **Knowledge of:** * Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities… more
- Raymond James Financial, Inc. (NY)
- …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