- Raymond James Financial, Inc. (Chicago, IL)
- …through education and experience to assist the lead legal and compliance liaison perform internal pre-marketing/offering review for negotiated municipal and ... underwritings and placements. Assists with transaction document review to ensure compliance with regulatory and internal policies and procedures regarding clients… more
- Raymond James Financial, Inc. (Reston, VA)
- …65 or Series 66_RA - Investment Adv Rep - Financial Industry Regulatory Authority ( FINRA ), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority ... of transactions. * Ensures firm and regulatory policies are followed within compliance standards. * Perform other duties and responsibilities as assigned. *… more
- Raymond James Financial, Inc. (Morristown, NJ)
- …65 or Series 66_RA - Investment Adv Rep - Financial Industry Regulatory Authority ( FINRA ), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority ... meetings, providing key insights, and handling documentation. Ensure that all compliance standards are met for client documentation and communication. Actively… more
- NatWest Markets (Stamford, CT)
- …+ 3 to 5 years of broker-dealer and swap dealer experience including knowledge of FINRA , SEC , CFTC, DTCC and NFA regulation. + Knowledge of broker-dealer and ... the proper operations of the department and the business._ **Job Description** The Compliance Advisory Officer reporting to the Compliance Advisory Lead will… 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
- Athene (IA)
- …teams* Maintain a high level of professional conduct ensuring that all FINRA , SEC , Department of Insurance and Athene compliance and firm policies as well as ... Business Development experience preferred * Must have or obtain FINRA Licensing (Series 6) within 6 months of employment...months of employment * Life & Health license * FINRA Series 7, and Series 63 licenses preferred *… more
- US Bank (Glendale, CA)
- …- Experience with the policies, processes and procedures of the brokerage industry, FINRA and SEC regulatory standards and all applicable regulatory bodies, ... - To be eligible for business incentives, must have FINRA SIE, Series 6 or 7, 63 registrations and...- Proven understanding of operations, policies, procedures, regulations and compliance requirements - Strong analytical skills with an emphasis… more
- Raymond James Financial, Inc. (Beverly Hills, CA)
- …**Education** High School (HS) (Required) **Work Experience** **Certifications** GS - Gen Sec Rep - Financial Industry Regulatory Authority ( FINRA ), RA - ... a first point of contact for resolving customer queries and complaints. Assess compliance with established standards and protocols for routine inquiries. Carry out a… more
- Raymond James Financial, Inc. (Reston, VA)
- …65 or Series 66_RA - Investment Adv Rep - Financial Industry Regulatory Authority ( FINRA ), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority ... transactions. * Ensures firm and regulatory policies are followed within compliance standards. * Perform other duties and responsibilities as assigned.… more
- Raymond James Financial, Inc. (Hackensack, NJ)
- …65 or Series 66_RA - Investment Adv Rep - Financial Industry Regulatory Authority ( FINRA ), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority ... transactions. * Ensures practice and regulatory policies are followed within compliance standards * Perform other duties and responsibilities as assigned.… more