- 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
- State of Colorado (CO)
- …position is responsible for training and lead the day-to-day activities of the Compliance Investigator Intern/ Compliance Investigator Series but doesn't have ... and administrative hearings. Work leader responsible for day-to-day activities of the Compliance Investigator Series + Serve as the Division's training officer… more
- Federal Aviation Administration (Essington, PA)
- …status reports, and organizational measures in place to ensure timeliness, policy compliance , and overall alignment with the Flight Standards Service. Directs the ... program. Ensures equal opportunity for all employees or applicants through compliance with applicable laws and regulations to eliminate discrimination, harassment,… more
- Navy Federal Credit Union (Winchester, VA)
- …monitor operations to ensure process efficiencies, staff effectiveness and prevent/reduce financial risk while meeting compliance to regulatory standards. ... share information + Gather and prepare data for various financial , compliance and internal reports + Develop...for this position, will be expected to obtain FINRA Series 7 and 24 (and NASAA Series … more
- Santander US (Boston, MA)
- …* Excellent teamwork, interpersonal and conflict resolution skills. Certifications: * FINRA ( Financial Industry Regulatory Authority) FINRA Series 7, 24, 66 (or ... timely closure of identified surveillance issues * Works with Compliance , Operations and other Santander functions closely to research... 9 and 10 may replace the requirements for Series 24 - Required. * FINRA ( Financial … more
- Truist (Richmond, VA)
- …and procedures. Ensure team is aware and understands all changes relating to compliance with industry rules, regulations as well as internal policies and procedures. ... for Investment Advisory accounts. Utilize multiple systems to ensure compliance with firm policies related to advisory account management....with disabilities to perform the essential functions. + FINRA Series 7, 24, 53 and 66 licenses ( Series… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …managers through the use of various reports and systems. + Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC) and platform ... they apply to account trading activity of clients' accounts by monitoring financial advisor activity, reporting findings and managing concerns in a professional and… more
- Wells Fargo (Charlotte, NC)
- …including Series 63 (or FINRA recognized equivalents) + Certified Financial Planner (CFP) or Chartered Alternative Investment Analyst (CAIA) + Microsoft Office ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively… more
- Federal Aviation Administration (Burlington, MA)
- …programs. Responsible for the promotion and education of regulatory compliance in safety related areas. Analyzes investigative data, develops recommendations, ... Employment We are not accepting applications from noncitizens. Qualifications Aviation Safety Series , 1825 General Requirements for All Positions: Not more than two… more