- Raymond James Financial, Inc. (St. Petersburg, FL)
- …including private markets products. + Legal agreement drafting and negotiation. + Relevant FINRA / SEC rules and regulations. + Principles of banking and finance ... both internal clients and functional area representatives including legal, compliance , supervision, operations, and AML. **Job Description** **Job Summary:** This… more
- US Bank (Newport Beach, CA)
- …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. (Houston, TX)
- …65 or Series 66_RA - Investment Adv Rep - Financial Industry Regulatory Authority ( FINRA ), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority ... or services. * Firm's working structure, policies, mission, strategies, and compliance guidelines. **Skill in:** * Operating client relationship manager system and… more
- US Bank (Denver, CO)
- …- 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. (Reston, VA)
- …Experience** General Experience - 13 months to 3 years **Certifications** GS - Gen Sec Rep - Financial Industry Regulatory Authority ( FINRA ), RA - Investment Adv ... * Ensures firm and regulatory policies are followed within compliance standards. * Perform other duties and responsibilities as...Rep - Financial Industry Regulatory Authority ( FINRA ), Securities Industry Essentials Exam (SIE) - Financial Industry… more
- Raymond James Financial, Inc. (Austin, TX)
- …Experience** General Experience - 13 months to 3 years **Certifications** GS - Gen Sec Rep - Financial Industry Regulatory Authority ( FINRA ), RA - Investment Adv ... or services. * Firm's working structure, policies, mission, strategies, and compliance guidelines. **Skill in:** * Operating client relationship manager system and… more
- Raymond James Financial, Inc. (Hackensack, NJ)
- …**Work Experience** General Experience - 3 to 6 years **Certifications** GS - Gen Sec Rep - Financial Industry Regulatory Authority ( FINRA ), RA - Investment Adv ... transactions. * Ensures practice and regulatory policies are followed within compliance standards * Perform other duties and responsibilities as assigned.… more
- Wells Fargo (Charlotte, NC)
- …will be a part of a small global team who will monitor daily SLATE ( SEC Rule 10c-1a) controls, as well as other non-financial regulatory reporting regimes, ie, TRACE ... and institutional clients across the globe. This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a… more
- OTC Markets Group Inc (Washington, DC)
- …NQB are each an SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker-dealer, member SIPC. Applicants have rights under the federal ... and drive change to the internal interface projects supporting Corporate Services and Issuer Compliance teams. The BA's role will live in both the tech and data… more
- Wells Fargo (Charlotte, NC)
- …situations requiring exceptional understanding of the function, policies, procedures, and compliance requirements that influence and lead a broader work team to ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
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