- Raymond James Financial, Inc. (St. Petersburg, FL)
- …adherence to all rules, regulations, policies and standards that govern the firm and the securities industry. Positions in Compliance cover a wide range of ... or [major] fieldlaw or finance with a graduate date of May 2027. Most positions are based in St. Petersburg with other available locations depending on company need.… more
- Aegon Asset Management (Cedar Rapids, IA)
- …5 years relevant experience, specifically with 2 years of experience in both the securities industry and Advertising Compliance . + FINRA Series 7/24 + At least ... Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative...that follows is a good faith estimate for this position only and is provided pursuant to applicable pay… more
- US Bank (Chicago, IL)
- …and ongoing recruiting and hiring of Financial Advisors to reach market objectives. Ensures compliance with state and federal securities laws as well as US ... within Investment Sales. Directs assigned market's sales efforts and the compliance /administrative duties regarding the sale of investment services through US… more
- Securities and Exchange Commission (Philadelphia, PA)
- …investment companies, investment advisers and self-regulatory organizations; Assessing the compliance , activities and risks of registered securities firms; ... Summary The Division of Examinations (Exams) is seeking to fill the position of Associate Director in the Office of Investment Advisers and Investment Company… more
- Securities and Exchange Commission (Philadelphia, PA)
- …investment companies, investment advisers and self-regulatory organizations; Assessing the compliance , activities and risks of registered securities firms; ... Summary The Division of Examinations (Exams) is seeking to fill the position of Associate Director in the Office of Investment Advisers and Investment Company… more
- TD Bank (Mount Laurel, NJ)
- …Advisors (WLA) who support the lending activities of Wealth Banking.** **In this position , the Compliance Analyst will provide guidance, leadership and training ... **This position will require travel 5 -15% of the time. The position requires a compliance knowledge with applicable laws and regulations, an ability… more
- Marex (New York, NY)
- …The Senior Compliance Officer - Fixed Income Advisory will provide compliance advisory services primarily for Fixed Income securities , including corporate ... various other regulatory reporting requirements, including TRACE and RTRS reporting. The position will primarily focus on providing real-time compliance advisory… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000 USD TD is committed to providing fair ... more specific details for this role. **Job Description:** TD Securities is seeking a highly experienced and strategic Senior...experienced and strategic Senior Conflict Manager to join our Compliance Control Room. This role is critical in managing… more
- Aflac (New York, NY)
- VP, Investment Compliance Manager The Company: Aflac Asset Mgt. LLC The Location: New York City, NY, US, 10005 The Division: Global Investment Job Id: 8034 About Our ... Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933 and Securities Exchange...registered investment advisers is a must. + Proactively identify compliance issues and obtain workable resolution. Make a broad… more
- S&P Global (New York, NY)
- …AI tools within S&P Global Ratings. They are members of the Risk & Compliance Department, which serves as a critical control function for S&P Global Ratings. This ... position supports the mitigation of risks and enhancement of...necessary. + Conducts regular reviews and audits to ensure compliance with established standards. Analytical Platforms + Applies knowledge… more