- City National Bank (Jersey City, NJ)
- …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
- Neuberger Berman (New York, NY)
- …Maintain accurate and up-to-date registration records in internal systems and ensure compliance with recordkeeping requirements + Manage FINRA Gateway queues, ... + Strong interpersonal, oral, and written communication skills + Understanding of FINRA , SEC , and state registration/licensing requirements + Excellent computer… 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:** $140,000 - $185,000 USD TD is...team). + Surveillance experience at Financial Market Regulator (eg, SEC , FINRA , CFTC, NFA, or Exchange Market… more
- 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
- 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. (New York, NY)
- … reviews. + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities regulatory ... and Responsibilities** + Executes the risk-based branch exam program in FINRA -registered and non-registered Private Client Group branches across the country. +… more
- Wells Fargo (Charlotte, NC)
- …+ OTC derivatives-based regulations (such as Dodd-Frank, Emir, Margin rules) + SEC / Finra /MSRB regulations with onboarding touchpoints (such as those governing, ... - convert policies into procedures, processes and controls, working in partnership with compliance , legal, 1st and 2nd line control, COB, and other stakeholders -… more
- Insight Global (Atlanta, GA)
- …experience managing a team of 5-10 team members Previous employment with FinCEN, SEC , FINRA , OCC, or attorneys with relevant financial experience may also ... Bank Secrecy Act (BSA), US PATRIOT Act, or fraud. Previous employment with FinCEN, SEC , FINRA , OCC, or attorneys with relevant financial experience may also be… more
- 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
- 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