- Thrivent Financial (Minneapolis, MN)
- …Director serves as a key liaison with clearing and custodial partners, ensures strict compliance with FINRA and SEC regulations, and drives continuous ... advisor experiences . Regulatory Compliance + Ensure adherence to FINRA , SEC , and other regulatory requirements. + Lead or support regulatory audits,… more
- US Bank (St. Louis, MO)
- … with applicable internal policies and procedures, the adequacy of internal controls, and compliance with SEC , FINRA , MSRB, OCC, and applicable State ... trends that impact the business line; + Thorough knowledge of Risk/ Compliance /Audit competencies; and + FINRA 7, 63, or 66 licenses. _**The role offers a… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and compliance with Generally Accepted Accounting Principles (GAAP) and SEC requirements. * Manages the preparation of quarterly external reporting releases, ... - 6 to 10 years **Certifications** GS - Gen Sec Rep - Financial Industry Regulatory Authority ( FINRA... Sec Rep - Financial Industry Regulatory Authority ( FINRA ) **Travel** Less than 25% **Workstyle** Hybrid At Raymond… more
- Wells Fargo (New York, NY)
- …advise business partners accordingly. + Provide substantive legal advice on regulatory and compliance matters, including SEC , FINRA , NYSE/Nasdaq, and global ... 1933 and the Securities Exchange Act of 1934 + Familiarity with FINRA rules and broker-dealer compliance + Experience working with or advising ECM/DCM desks at a… more
- MUFG (New York, NY)
- …+ 5+ years of Fixed Income Compliance experience + Strong knowledge of FINRA , SEC , NFA and CFTC rules and regulations. + Strong verbal, written and ... details. Our ideal candidate will possess a strong understanding of regulatory compliance , risk management, and business operations. This role requires someone who… more
- Truist (Richmond, VA)
- …brokerage and investment advisory industry rules, regulations, and operations.** + Familiar with SEC Marketing Rule and FINRA Communication with the Public Rule ... Sales Management. Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm policy. +… more
- Raymond James Financial, Inc. (New York, NY)
- …of:** + Securities industry compliance practices, concepts, and procedures. + SEC , FINRA , FRB Bank Holding Company, and state regulatory frameworks. + ... a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation,...risks associated with Capital Markets activities, ensuring adherence to SEC , FINRA , FRB Bank Holding Company, and… more
- Aristotle Capital Management (Los Angeles, CA)
- …and governance practices, ensuring compliance with regulatory requirements (eg, FINRA , SEC , GDPR, CAN-SPAM). + Oversee data hygiene, enrichment, and ... client journeys across all audiences. + Collaborate with sales, product, and compliance teams to build campaign frameworks that align with regulatory requirements… more
- Equitable (Charlotte, NC)
- …and/or in a senior compliance level role. * Demonstrated understanding of SEC , FINRA and State Insurance laws, rules and regulations. * Proven knowledge ... Officer, you'll be responsible for the following: * Monitoring FINRA , SEC , State and Insurance department laws,...the EDL Compliance team that provides day-to-day compliance support as well as insurance licensing/ FINRA … more
- Commerce Bank (St. Louis, MO)
- …efforts with organizational objectives and market opportunities + Ensure team adherence to FINRA , SEC , and internal compliance policies, conducting regular ... service. This role will focus on recruitment, coaching, business development, and compliance to align with corporate goals and regulatory requirements. The Sales… more