• Regulatory Reporting Sr. Analyst, AVP - Hybrid

    Citigroup (Getzville, NY)
    …which is responsible for executing daily controls to mitigate the inherent risk of non- compliance with the SEC 's Client Asset Protection rule (15c3-3), a Tier 2 ... and Internal Audit. Externally, this role regularly interfaces with representatives from the SEC and FINRA 's NY offices via Ongoing Supervision (OGS) and Annual… more
    Citigroup (07/19/25)
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  • JP Morgan Wealth Management - Supervisory Manager…

    JPMorgan Chase (New York, NY)
    …or compliance roles within the financial sector. + In-depth knowledge of FINRA , MSRB, and SEC rules and regulations. + Strong critical thinking and ... lead and oversee a territory of Financial Advisors, ensuring compliance with regulatory obligations and managing operational risk. You...for efficient data management and reporting. + Must hold FINRA Series 7 and one or more of the… more
    JPMorgan Chase (07/21/25)
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  • Senior Advisor, Supervision- Investment Advisory

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …industry operations * Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities ... fiduciary oversight of Investment Adviser Representatives (IARs) in accordance with SEC regulations and guidelines as well as firm policies governing advisory… more
    Raymond James Financial, Inc. (07/15/25)
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  • Remote Advice Controls & Operations Manager

    Equitable (Syracuse, NY)
    …by ensuring sales practices, account documentation, and books and records comply with SEC , FINRA and state rules and insurance regulations. Create SharePoint ... with specific emphasis on driving Advisor Assist program growth. Responsible for compliance and supervision of the Financial Professionals on the Remote Advice team… more
    Equitable (06/24/25)
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  • Principal Business Information Security…

    ServiceNow, Inc. (Milwaukee, WI)
    …a subject matter expert on financial services regulations (eg, GDPR, PCI-DSS, SOX, FINRA ), advising clients on compliance strategies and audit readiness. + ... of regulatory and audit requirements in financial services (eg, GDPR, PCI-DSS, SOX, FINRA , SEC Rule 17a-4, CDMC). **Technical Skills:** + Proficiency in… more
    ServiceNow, Inc. (06/05/25)
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  • Director / Senior Trader

    Bank of America (New York, NY)
    …, Legal and Product Control to ensure adherence to rules, laid down by SEC , FINRA and other relevant regulatory authorities. * Perform Relative Value Analysis ... to hedge market risks. * Assess existing policies on SEC Registered Issuances, Euro MediumTerm Notes, and REGS and...to hedge market risks; * Assessing existing policies on SEC Registered Issuances, Euro Medium Term Notes, and REGS… more
    Bank of America (07/24/25)
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  • Fixed Income Operations Analyst

    Marex (New York, NY)
    …breaks. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , NFA, CFTC and other applicable exchanges. + Adhere to the ... responsibility + To report any breaches of policy to Compliance and/ or your supervisor as require + To...Income trading of corporate bonds and US treasuries. + FINRA Series 99 or willingness to acquire preferred. +… more
    Marex (07/24/25)
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  • Associate, Global Product Solutions ETF Regulatory…

    BlackRock (Boston, MA)
    …marketing and communications. The Associate will work closely with product, marketing and compliance groups and FINRA staff to help ensure regulatory ... and rigor. **Qualifications** + Bachelor's degree + 3+ years compliance background with a broker-dealer, mutual fund, or ETF...1+ years advertising review experience. + Strong familiarity with FINRA and SEC advertising rules. + Series… more
    BlackRock (07/20/25)
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  • Central Supervision Principal

    KeyBank (Brooklyn, OH)
    …to apply financial needs analysis and asset allocation concepts. *Strong knowledge of SEC & FINRA rules & regulations **Competencies / Skills** *Excellent ... KIS registered representatives. **Essential Job Functions:** *Act as formally designated FINRA general principal in all regulatory capacities for activities of KIS… more
    KeyBank (06/20/25)
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  • Client Relationship Manager

    Raymond James Financial, Inc. (Cedar Knolls, NJ)
    …**Work Experience** General Experience - 3 to 6 years **Certifications** GS - Gen Sec Rep - Financial Industry Regulatory Authority ( FINRA ), RA - Investment Adv ... meetings, providing key insights, and handling documentation. Ensure that all compliance standards are met for client documentation and communication. Actively… more
    Raymond James Financial, Inc. (07/25/25)
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