- TD Bank (Boston, MA)
- …have extensive Wealth Management leadership experience + Extensive understanding of current compliance and regulatory issues (OCC, SEC, FINRA , and State ... in Wealth by partnering with US Wealth Senior Leadership Team, Federated Partners ( Compliance , Legal), and AMCB Consumer Bank teams to ensure that all regulatory, … more
- Vanguard (Scottsdale, AZ)
- …of training and experience. + Regulatory license/registration may be required (eg, FINRA , state, SFC), determined by Compliance based on role-specific duties. ... + Vanguard does not offer visa sponsorship for this position. Special Factors Sponsorship Vanguard is not offering visa sponsorship for this position. About Vanguard At Vanguard, we don't just have a mission-we're on a mission. To work for the long-term… more
- Raymond James Financial, Inc. (New York, NY)
- …objectives, ensuring operational excellence. **Advanced Knowledge of:** + Securities industry compliance practices, concepts, and procedures. + SEC, FINRA , FRB ... Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision of… more
- PNC (IL)
- …and have an opportunity to contribute to the company's success. As a Compliance Program Advisor, you will be within PNC's Retail Organization supporting the Risk, ... Experience & Strategy (RCES) First Line of Defense Regulatory Compliance team. This is a remote position. Work may...* Capital Markets and or Broker Dealer experience * FINRA regulatory licenses (series 24 or 53) are preferred… more
- TD Bank (Greenville, SC)
- …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 , ... a mission to build a more resilient and scalable compliance risk management function. As part of our team,...deadlines** + **Experience presenting to management and regulators** + ** FINRA series 7 and 24** + **Life and Health… more
- Robert Half Legal (Charlotte, NC)
- Description Compliance Manager Opportunity - Career Growth Awaits! ⚖️ Are you a passionate compliance professional seeking a career where strategic leadership ... meets cutting-edge regulatory expertise? We're looking for a Compliance Manager to lead and shape the compliance...global fundraising requirements + Opportunity to master tools like FINRA IARD and regulatory filings like Form ADV and… more
- Vanguard (Charlotte, NC)
- …and demonstrate deep expertise in Regulation E, Regulation CC, NACHA rules, and FINRA oversight. You will design and execute compliance testing frameworks, ... We are seeking a seasoned compliance professional to lead monitoring and testing for...(Reg E, Reg CC, NACHA). + CRCM certification required; FINRA Series 7 and 24 strongly preferred. + Strong… more
- Marex (New York, NY)
- …For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide compliance ... bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements, including… more
- T. Rowe Price (Baltimore, MD)
- …make a difference in ways that matter to you . Role Summary Investment Compliance is a dynamic team within Global Investment Operations. The team is responsible for ... and proven leader to drive the evolution of our compliance function for the North America team, applying a...+ Ability to attract, advance, and retain top talent. FINRA Requirements: FINRA licenses are not required… more
- T. Rowe Price (Baltimore, MD)
- …a difference in ways that matter to you . About this Position Investment Compliance is a dedicated function supporting global asset management processes by ensuring ... compliance with regulatory, prospectus, client-directed, and internal investment and...team player who is committed to growth and learning FINRA Requirements FINRA licenses are not required… more
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