- JPMorgan Chase (Pittsford, NY)
- …+ Valid and active Series 7, 9/10 (or 4, 24, and 53), 66 (or 63/65) FINRA licenses, ensuring compliance with industry standards. + Valid and active Life, Health, ... Supervisory or Compliance professional, demonstrating expertise in managing and overseeing compliance efforts. + Knowledge of FINRA , MSRB, and SEC rules and… more
- Atria Wealth Solutions (Marion, IN)
- …+ Maintain Investment Department website. + Ensure the Investment Department is in compliance with FINRA . + Maintain advertising and complaint files as required ... by the FINRA . + Be prepared for compliance audits by the state or Credit Union Service Organization and correct any deficiencies. + Complete continuing education… more
- ADP (Dallas, TX)
- …to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job Responsibilities:** + Educates employees on account information, ... with other business units as needed. **Job Requirements:** + FINRA Series 6 and 63 securities licenses and Securities...and a leader in business outsourcing services, analytics, and compliance expertise. We believe our people make all the… more
- First National Bank of Omaha (Minneapolis, MN)
- …capital markets and institutional sales team, legal counsel, operations and compliance to coordinate transaction execution. **Mergers & Acquisitions** Assist in the ... years of relevant investment banking, capital markets, or private equity experience. + FINRA SIE, 7, 63 and Series 79 License (or equivalent registrations) or… more
- Truist (New York, NY)
- …and regulatory knowledge with an emphasis on: Credit, Market, Liquidity, Compliance , Operational, Reputation and Strategic Risks. 6. Strong leadership and ... + Master's degree in finance or equivalent science/academic field. + Strongly preferred: FINRA Series 7, 52, 53 + Strong knowledge of trading floor rules and… more
- Arena Investors LP (Jacksonville, FL)
- …and regulations; . Experienced reviewing marketing materials in line with SEC and FINRA rules; . Experienced conducting annual compliance reviews; . Experienced ... expand the team through the addition of a senior Compliance Officer. In this role, this individual will work...Advisers Act of 1940; . Support the CCO with FINRA broker-dealer requirements; . Monitoring of Client guidelines and… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …working in a matrixed organization. + Knowledge of financial regulations (eg, SEC, FINRA ) and compliance best practices. Product Marketing Director LOCATION -- ... in customer research and testing + Partner with product, analytics, legal, compliance , and sales teams to ensure marketing initiatives align with business goals… more
- Principal Financial Group (Des Moines, IA)
- …define, implement, and lead a best-in-class supervisory framework that ensures full compliance with FINRA , SEC, RIA, and state regulatory requirements, while ... **What You'll Do** Are you ready to shape the future of supervision and compliance at one of the most respected financial institutions in the industry? We're seeking… more
- ADP (El Paso, TX)
- …benefits administration and a leader in business outsourcing services, analytics, and compliance expertise. We believe our people make all the difference in ... long, proud history of conducting business with the highest ethical standards and full compliance with all applicable laws. We also expect our people to uphold our… more
- JPMorgan Chase (New York, NY)
- …capital-driven limit, reporting requirements, and the management of securities-based swaps; ensuring compliance with FINRA rules, related to the supervision and ... with Credit Risk SMEs and partners and ensure thorough assessments and compliance by adhering to policies and procedures including Credit Risk Management, Credit… more
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