- TD Bank (New York, NY)
- …with banking, lending and investments for HNW, MA and/or Institutional clients + Certified Financial Planner (CFP) designation is preferred + Series 7, Series ... most impactful manner possible. The WMP will be accountable for delivering strong financial results and growing market share while building upon TD's risk, control… more
- Regions Bank (Hoover, AL)
- … partners on mitigating risk. **Primary Responsibilities** + Ensures full compliance with Financial Industry Regulatory Agency (FINRA), Securities and ... start date + Strong understanding of investment products, portfolio management, financial planning, and regulatory compliance **Skills and Competencies** +… more
- Citigroup (Getzville, NY)
- …operations and end results + Assist with overseeing the risk control environment, compliance efforts to follow policies and procedures and keep abreast of Citi's ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Raymond James Financial, Inc. (Memphis, TN)
- …& Skills:** + Strong understanding of internal controls, risk management, and regulatory compliance in a brokerage or financial services environment. + Proven ... improvement. + Provide coaching and guidance to staff on quality standards and financial control procedures. + Analyze performance data to identify trends and drive… more
- Equitable (Woodbridge, NJ)
- …Rewards Program **Qualifications** **Required Qualifications** + 3 years of work experience in the financial services industry + FINRA Series 7 + FINRA Series ... the Atlantic Liberty Branch with the supervision of the Financial Professionals for the branch as well as oversight...of Branch FPs, as needed + Work with National Compliance Office - for any FINRA Inquiries or Arbitration… more
- Equitable (Charlotte, NC)
- …to making a difference in the lives of clients. Across the US, financial professionals operating under the Equitable Advisors brand engage with individual clients to ... build relationships focused on helping individuals achieve meaningful financial wellness. In this role, you will join an exciting and growing team of dedicated… more
- M&T Bank (Iselin, NJ)
- …models, loan prepayment and utilization models, deposit attrition models and financial instrument valuation methods. + Prepare, manage and analyze large customer ... loan, deposit and/or financial data sets for statistical analysis in Structured Query...ensure properly developed models. + Run regressions (including time series and logistic regression), programming routines and other econometric… more
- Wells Fargo (Miami, FL)
- …accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... Services team. This role requires a deep understanding of the unique financial needs and career trajectories of professionals, including income variability, practice… more
- Wells Fargo (Seattle, WA)
- …recruiting Financial Advisors/Wealth Advisors + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 (or FINRA recognized ... is required for ongoing employment in this position. FINRA Series 7 or equivalent must be completed within a...for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes… more
- Truist (Charlotte, NC)
- …and controls across highly complex business area, while helping ensure compliance with enterprise compliance program requirements. Key responsibilities include ... assigned Business Unit across all risk types to promote and strengthen compliance with applicable regulations, policies, procedures and risk program requirements. 2.… more