- Raymond James Financial, Inc. (St. Petersburg, FL)
- …firm 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. (Franklin, TN)
- …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. (Bluffton, SC)
- …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
- PNC (Pittsburgh, PA)
- …of and implementation of emerging accounting requirements from the FASB, SEC and other regulatory bodies. 1.) Independently formulate opinions and provide ... Company's application and implementation of new accounting standards, as well as SEC and other regulatory reporting matters. 1.) Design, develop and communicate… more
- Charles Schwab (Westlake, TX)
- …responsible for Schwab's engagement with its securities/commodities regulators, including the SEC , FINRA , CFTC, NFA, international and state securities ... regulators, and exchanges such as CME Group, on compliance -related matters, regulatory inquiries, and examinations. The Regulatory Exam...+ Experience working at a securities regulatory agency (ie, SEC or FINRA ). + 10+ years experience… more
- Raymond James Financial, Inc. (Greenville, SC)
- …65 or Series 66_RA - Investment Adv Rep - Financial Industry Regulatory Authority ( FINRA ), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority ... supervision and provides technical guidance when required on achieving full compliance with applicable rules and regulations in management and/or operations. Works… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …- External** **Knowledge, Skills, and Abilities** **Knowledge of** + Federal Reserve, OCC, FINRA , SEC , and other relevant regulatory guidance + Experienced in ... training. + Strong understanding of risk-related regulatory requirements (eg, OCC, FRB, FDIC, SEC , FINRA ) and ability to apply data analytics to risk reporting… more
- Dunham & Associates Investment Counsel, Inc. (San Diego, CA)
- …US GAAP, rules and regulations of the Financial Industry Regulatory Authority (" FINRA "), Securities and Exchange Commission (" SEC "), and various state regulatory ... Reporting: + Monitor changes in regulatory reporting requirements (eg, FINRA ) and ensure the firm's compliance with...requirements (eg, FINRA ) and ensure the firm's compliance with applicable rules and regulations. + Prepare and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …retail activity. * Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities ... reporting. * Completes the U4 to open and close amendment process using FINRA systems. * Satisfies SARC's state reporting requirements. * Completes the quarterly… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and methods. + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities ... on Outside Business Activities by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations. + Lead, allocate, and mentor… more