- DXC Technology (Tulsa, OK)
- …exceptional customer support, processing account updates, handling inquiries, and ensuring compliance with FINRA regulations. **Key Responsibilities** + Provide ... Quality Assurance (QA) support, including enhanced QA reviews for FINRA -registered associates handling variable investment transactions. **Qualifications** **Required:** +… more
- Equitable (Milwaukee, WI)
- …**Qualifications** **Required Qualifications** + 1 Years experience in Compliance roles + FINRA Series 7, 65 ... Branch Compliance Analyst (Hybrid) Willing to Obtain Series 24...account documentation, and books and records comply with SEC, FINRA and state rules and insurance regulations. + Monitor… more
- Foresters Financial Services (Westbury, NY)
- …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
- Wells Fargo (Boston, MA)
- …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
- Guardian Life (Annapolis, MD)
- …will conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...+ Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations along with… more
- Robert Half Legal (San Diego, CA)
- Description Financial Services Company Seeks Senior Attorney Focused on Broker-Dealer Compliance & FINRA Arbitrations About Firm & Position: A well-established ... services organization is seeking a Associate General Counsel - Broker-Dealer Regulatory Compliance to join its growing corporate legal department. This position will… more
- M&T Bank (Buffalo, NY)
- …and Health Insurance license **Education and Experience Preferred:** Master's degree FINRA regulatory/ compliance experience M&T Bank is committed to fair, ... Monitor and ensure the region completes required regulatory and compliance training. + Network within centers of influence such...minimum of 9 years' experience in a sales environment FINRA Series 7, 63, 24, 65 Licenses New York… more
- JPMorgan Chase (Jersey City, NJ)
- …and skills** + Prior financial services experience in Trade Surveillance or other Compliance function + FINRA General Securities licenses such as Series 7, ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging… more
- Santander US (Holden, MA)
- …* Maintain 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 in an effort to achieve sales results and… more
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