- BMO Financial Group (Santa Cruz, CA)
- …technology, and resources. + Acts as the primary client contact to uncover financial needs and provide meaningful solutions in compliance with regulatory and ... + **This is a licensed position requiring the SIE, Series 6, 63, Life and Health insurance.** **_The mission...+ Acts as the primary client contact to uncover financial needs and provide meaningful solutions in compliance… more
- PNC (Pittsburgh, PA)
- …which is a broker-dealer subsidiary of PNC Bank. This role works with Compliance , Central Review Desk and Regional Sales Managers to identify suspicious patterns in ... review of new business. In addition, the RSO proactively coaches and trains financial advisors on proper sales practices and disseminate information on changes in… more
- Robert Half Finance & Accounting (Fairfax, VA)
- Description Paraplanner Financial Advisor ~ Washington, DC area Financial Services $90k, plus great benefits, growing company! My client is well established ... financial services company located in the Washington, DC area....on current market changes and products changes . Maintain compliance with all regulatory laws . Conduct research in… more
- Raymond James Financial, Inc. (Denver, CO)
- …team oversees annuity and insurance transactions for Branch Managers as well as Financial Advisors based on certain risk criteria. The team also conducts certain ... moderate scope and complexity. **Essential Duties and Responsibilities:** * Conducts compliance and suitability reviews, and monitors trading activities, through the… more
- Truist (Richmond, VA)
- …Bachelor's degree in Finance or Business. + 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 **General Description of ... job description:** Purpose: Mitigate risk for the firm from financial , reputation and regulatory items by ensuring that the...that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations as well as internal… more
- TD Bank (Greenville, SC)
- …electronic communications. This role works closely with the supervision, operations, compliance , and risk departments of the US Wealth organization. **Depth & ... trades, trends and patterns identified by the FIS Supervision Compliance Manager (FIS CM) automated surveillance system and escalates...+ 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series 24… more
- Truist (Charlotte, NC)
- …Bachelor's degree in Finance or Business. + 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 + Bilingual **General ... a focus on mitigating risk for the firm from financial , reputation and regulatory items by ensuring that the...that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations as well as internal… more
- Raymond James Financial, Inc. (Denver, CO)
- …for the Packaged Products team would be expected to analyze various compliance and suitability reviews to detect trends of post-trading patterns, and possible ... and resolve problems. **Essential Duties and Responsibilities:** * Conducts compliance and suitability reviews, and monitors trading activities, through the… more
- Truist (Atlanta, GA)
- …within CIB. The team performs trade surveillance activities, working with traders, compliance , and other risk functions to review trade surveillance alerts and ... investigate potential compliance issues. Responsible for the selection, training, development, and...to perform the essential functions.1. BA/BS degree 2. Licenses: Series 7, Series 99, Series … more
- TD Bank (Marlton, NJ)
- …This job works closely with the Market Supervision Managers and the operations, compliance , and risk departments of the US Wealth organization. **Depth & Scope:** + ... Regulation Best Interest and FINRA suitability rules and ensures compliance with AML/CIP/KYC programs regarding new account opening +...+ 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series 24… more