- 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 ... that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations as well as internal...individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses (Series… more
- Equitable (Charlotte, NC)
- …Overseeing and managing the EDL Compliance team that provides day-to-day compliance support as well as insurance licensing/ FINRA registration processing. The ... Chief Compliance Officer ( 250000CZ ) **Primary Location** :...compliance level role. + Demonstrated understanding of SEC, FINRA and State Insurance laws, rules and regulations. +… more
- TD Bank (Mount Laurel, NJ)
- …+ **Ensure ongoing compliance with the Investment Company Act of 1940, FINRA , SEC rules, and other applicable state and federal securities laws.** + **Help ... who can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD Bank US Compliance ,… more
- TD Bank (Fort Lauderdale, FL)
- …+ **Ensure ongoing compliance with the Investment Company Act of 1940, FINRA , SEC rules, and other applicable state and federal securities laws** + **Assist in ... escalate issues requiring senior management attention.** + **Experience conducting annual compliance assessments under 206-4(7) and FINRA 3130.** +… more
- Wells Fargo (Charlotte, NC)
- …applicable FINRA , SEC, FRB, and OCC rules. + Provide compliance advisory support for Asset-Backed Securities (ABS) issuance, syndication, and lending activities. ... role:** We are seeking a highly experienced Senior Lead Compliance Officer to support the Structured Products Group (SPG)...degree or certification (JD, CRCM, etc.). + Expertise in FINRA , SEC, FRB, and OCC regulations related to broker-dealer… more
- Equitable (Charlotte, NC)
- Advertising Compliance Reviewer ( 250000DU ) **Primary Location** : UNITED STATES-NC-Charlotte **Organization** : Equitable **Schedule** : Full-time **Description** ... guided by principles of inclusivity, flexibility, and connection. Come join the Advertising Compliance team and enjoy working for a leading financial company with an… more
- Vanguard (Malvern, PA)
- …and functions to ensure business objectives are met while ensuring it's done in compliance with SEC and FINRA rules and regulations. Achieve compliant quality ... registration (eg FINRA , state, SFC). These will be determined by Compliance based on role-specific duties. + Financial marketing strategy or writing experience… more
- Lincoln Financial (Charlotte, NC)
- …at a Glance** We are excited to bring on a Consultant, Advertising Compliance to support our Lincoln Financial Distributors (wholesale) business unit in reviewing ... internal, financial professional and public audiences. Comprehensive knowledge of state, FINRA /SEC regulations is required as well as diplomatic and public speaking… more
- Vanguard (Malvern, PA)
- …Securities Lending, Asset Servicing), oversees performance of operation, and ensures compliance with SEC, OCC, FINRA regulations. Reviews applicable current ... This role oversees the operational effectiveness, risk management, and regulatory compliance of mission critical brokerage operations, while also supporting client… more
- JPMorgan Chase (Portland, OR)
- …in the securities/investment industry. + Bachelor's Degree. + Experience in supervisory or compliance roles. + Knowledge of FINRA , MSRB, and SEC rules. + ... lead and oversee a territory of Financial Advisors, ensuring compliance with regulatory obligations and managing operational risk. You...+ Familiarity with office software applications. + Must hold FINRA Series 7 and one or more of the… more