- Regions Bank (Hoover, AL)
- …+ Ensures full compliance with Financial Industry Regulatory Agency ( FINRA ), Securities and Exchange Commission ( SEC ), and internal policies; maintains ... that systems and processes are in place for investment compliance needs + Leads recruitment, onboarding, and training initiatives...(2) years must be in a supervisory/managerial capacity + FINRA Series 7, 66 (or 63 & 65) +… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Knowledge, Skills, and Abilities** **Knowledge of** + Federal Reserve, OCC, FINRA , SEC , and other relevant regulatory guidance + Experienced ... 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)
- …of the Company's financial management (financial control and reporting, tax compliance , budgeting, etc.) for five affiliated corporate entities. Participates as a ... as the Company's FINOP (Financial and Operations Principal) pursuant to FINRA requirements (responsible for maintaining required regulatory net capital; monthly,… more
- US Bank (Milwaukee, WI)
- …Regional Administration Managers, and Central Supervision - to ensure adherence to FINRA , SEC , MSRB, OCC, and internal supervisory policies and procedures. ... a critical role in maintaining a strong culture of compliance and risk management across your assigned region(s). You...of experience in the financial services industry - Active FINRA Series 7, 24, 53, 63 and 65/66 licenses… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ ** Compliance & Risk Management:** Ensure all transition activities comply with FINRA , SEC , and internal regulatory standards. Partner with Legal and ... Compliance teams to mitigate risk and maintain audit readiness....**ability to obtain within 120 days** (as required by FINRA ), provided that an exemption or grandfathering cannot be… more
- US Bank (Cedar Rapids, IA)
- …- Experience with the policies, processes and procedures of the brokerage industry, FINRA and SEC regulatory standards and all applicable regulatory bodies, ... degree preferred) - Five or more years of investment industry experience preferred - FINRA SIE, Series 7, Series 63 and 65/or 66 registrations and life, variable… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Monitors regulatory compliance with internal and external groups including auditors, FINRA , IRS, SEC and others. **Knowledge of:** + Company's working ... ability to obtain within 120 days (as required by FINRA ), provided that an exemption or grandfathering cannot be...ability to obtain within 120 days (as required by FINRA ). Persons holding Series 6, 7, 17, 37 or… more
- JPMorgan Chase (Chicago, IL)
- …a Supervisory or Compliance professional preferred. + Possess an advanced knowledge of FINRA , MSRB and SEC rules and regulations. + Experience working in an ... the securities / investment industry + Minimum licensing requirement: FINRA Series 7 and one or more of the...7 and one or more of the following licenses: FINRA Series 66 (63/65), 9/10 (4,24,53). Additional licensing requirements… more
- MUFG (New York, NY)
- …Broker - Dealer and applicable regulations, such as DFA Swap Dealer, Volcker and FINRA , SEC and NASD rules. + Experience working with financial industry ... impact on risk and/or risk management practices. + Maintain compliance with audit methodology, while also operating within industry...regulators, including OCC, FRB, and FINRA + Deep knowledge of risk assessment, audit methodology,… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …Series 7 and 63/66 licenses preferred. + Knowledge of the Securities industry and SEC / FINRA regulations is preferred. Business Controls Analyst - Customer ... and best practices deemed necessary by key stakeholders (such as Legal, Compliance , Enterprise Risk and Audit partners). Supports Business Controls in advancing risk… more