- TD Bank (Marlton, NJ)
- …and SEC rules regarding client accounts including Regulation Best Interest and FINRA suitability rules and ensures compliance with AML/CIP/KYC programs regarding ... of Business:** TD Wealth **Job Description:** The Principal Review Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office of… more
- Commerce Bank (St. Louis, MO)
- …with organizational objectives and market opportunities + Ensure team adherence to FINRA , SEC, and internal compliance policies, conducting regular reviews and ... service. This role will focus on recruitment, coaching, business development, and compliance to align with corporate goals and regulatory requirements. The Sales… more
- JPMorgan Chase (Tempe, AZ)
- …generational wealth management. **Job Responsibilities** + Review next-day trades to ensure compliance with FINRA rules and industry regulations. + Evaluate and ... industry. + 5 years of experience in a Supervision, Compliance , Surveillance, Operations, or Control capacity. + Must hold..., Surveillance, Operations, or Control capacity. + Must hold FINRA Series 7 and one or more of the… more
- First National Bank of Omaha (Omaha, NE)
- …the community. + Compliance & Ethics: Uphold bank policies, laws, and FINRA /SEC regulations, ensuring compliance with the bank's BSA/AML Program as it ... experience. + 3 years of experience in the investment or financial services industry. + FINRA Series 7 and 66 (or Series 63 & 65) registrations. + State Life,… more
- First National Bank of Omaha (Frisco, TX)
- …the community. + ** Compliance & Ethics:** Uphold bank policies, laws, and FINRA /SEC regulations, ensuring compliance with the bank's BSA/AML Program as it ... experience. + 3 years of experience in the investment or financial services industry. + FINRA Series 7 and 66 (or Series 63 & 65) registrations. + State Life,… more
- Cleveland Research Company (Cleveland, OH)
- … files + Attend internal department training sessions and client webinars for any Compliance questions + Assist with FINRA exams as applicable + Assist with ... Compliance Associate Cleveland Research Company is an independent...annual compliance reporting requirements + Review FINRA notices and relevant industry news, follow up with… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …associates, Technology Strategy and Alignment department, Supervision & Supervision management, Compliance & Standards Committee, and FINRA and SIFMA ... experience, specialized training and/or certification in securities or banking industry compliance to assist in administering and managing an assigned compliance… more
- BlackRock (New York, NY)
- …marketing and communications. The Associate will work closely with product, marketing and compliance groups and FINRA staff to help ensure regulatory ... income. + Develop and apply a robust knowledge of FINRA advertising rules, '40 Act and '33 Act communications...and rigor. **Qualifications** + Bachelor's degree + 3+ years compliance background with a broker-dealer, mutual fund, or ETF… more
- Mizuho Corporate Bank (New York, NY)
- … technology. Deep understanding of financial regulations and industry standards (SEC, FINRA , GDPR, etc.) Key Outcomes: + Improved compliance monitoring and ... Join Mizuho as a Business Analyst IT for Compliance Technology! In this role you will bridge...will bridge business needs and IT solutions within the compliance field. This role involves analyzing requirements, designing technology… more
- Charles Schwab (Phoenix, AZ)
- …Services** protects the firm from risk exposure by monitoring accounts to ensure compliance with FINRA , Self-Regulatory Organization (SRO) and Schwab rules and ... regulations. Margin Services imposes trading restrictions on accounts for trade settlement violations. Margin services reviews money due, stock due and various risk reports. We handle inquiries from both internal and external clients regarding buying power,… more