- HSBC (New York, NY)
- …risk management concepts + Experience in regulatory risks, with an understanding specifically in FINRA , SEC, and CFTC In compliance with applicable laws, HSBC is ... Corporate and Institutional Banking (CIB) business in the management, oversight, and compliance to all regulatory requirements, with a primary focus in the… more
- Robert Half Finance & Accounting (New York, NY)
- … consultancy firm or investment advisor/wealth manager. The candidate must have Compliance Testing experience relating to SEC, FINRA and CFTC Regulations. ... role covers the whole compliance program including monitoring/testing, regulatory compliance /risk (SEC, FINRA , CFTC), and employee compliance /personal… more
- Foresters Financial Services (Beaverton, OR)
- …strategy + Time value of money + Prospecting and telephone techniques (if you become FINRA licensed) + Compliance training What you need to have: + High School ... enhancing the service experience of clients*. *This role requires FINRA licensing within 12 months of hire to allow...of support is dictated by whether the incumbent is FINRA licensed. + As directed by the representative, based… more
- Santander US (Staten Island, NY)
- …+ Maintains required professional training and license requirements, including knowledge of FINRA compliance , FDIC compliance , the Bank's uninsured Products ... client objectives, and making appropriate investment/insurance recommendations consistent with compliance standards to achieve sales results and long-term client… more
- Santander US (Mashpee, MA)
- …+ Maintain required professional training and license requirements, including knowledge of FINRA compliance , FDIC compliance , the Bank's uninsured Products ... goals as defined on a quarterly basis + Maintain compliance with all applicable bank, broker/dealer, State and Federal...an MBA, CFP, CHLU or CHFC preferred. + Licenses/Certifications: FINRA licenses 7 and 66, or 7 and 63… more
- Santander US (Freehold, NJ)
- …+ Maintains required professional training and license requirements, including knowledge of FINRA compliance , FDIC compliance , the Bank's uninsured Products ... client objectives, and making appropriate investment/insurance recommendations consistent with compliance standards to achieve sales results and long-term client… more
- Santander US (Boston, MA)
- …+ Maintain required professional training and license requirements, including knowledge of FINRA compliance , FDIC compliance , the Bank's uninsured Products ... around the client investment/insurance service needs and maintaining consistent with compliance and operations standards + Proactive daily client management of… more
- Wells Fargo (Bee Cave, TX)
- …to supervise the activities of representatives (eg, financial advisors) to ensure their compliance with FINRA and SEC rules and regulations, as well as ... the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands… more
- Wells Fargo (San Diego County, CA)
- …to supervise the activities of representatives (eg, financial advisors) to ensure their compliance with FINRA and SEC rules and regulations, as well as ... the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands… more
- Wells Fargo (Minneapolis, MN)
- …+ Knowledge and understanding of credit risk management + Strong risk management and compliance skills + FINRA registration including Series 7 and 24 (or ... FINRA recognized equivalents) **Job Expectations:** + Registration for FINRA Series 7 & 24 must be completed within a 90 or 180-day time period contingent upon… more