- Santander US (Miami, FL)
- SEC / FINRA Regulatory Controls &...with control team to review, monitor and track controls related to SEC / FINRA regulations. * ... with the Issue Management team. * Work with the control team to monitor compliance with regulatory ...to help assess and escalate identified issues related to SEC / FINRA regulatory controls .… more
- Insight Global (Dallas, TX)
- …of the US Securities and Exchange Commission ( SEC ) and the Financial Industry Regulatory Authority ( FINRA ). The Deputy CCO will play a key role in ensuring ... the development and implementation of compliance policies, procedures, and controls . *Lead training sessions for employees on key compliance...with regulatory exams and inquiries from the SEC , FINRA , and other regulatory … more
- Capital One (New York, NY)
- …controls around the monitoring of trading activity, and ensure ongoing compliance with SEC , FINRA , CFTC, and NFA regulatory requirements. The ideal ... & Audit Support** + Support internal audits and regulatory examinations and inquiries ( SEC , FINRA , CFTC, NFA), including documentation of responses… more
- MUFG (Irving, TX)
- …of controls and compliance with Securities and Exchange Commission ( SEC ), Financial Industry Regulatory Authority ( FINRA ), Commodity Futures ... for the regulatory requirements of the FRB, SEC , FINRA , OCC, CFTC, NFA and IIROC...Assess the adequacy of first- and second-line of defense controls and prepare reviews for senior management detailing assessment… more
- Citizens (Chicago, IL)
- …and Compliance Ensure adherence to regulatory requirements ( SEC , FINRA ) and internal policies, maintaining robust controls to mitigate operational risk. ... client onboarding, account maintenance, and transaction processing. + Demonstrated knowledge of regulatory requirements ( SEC , FINRA ) and internal risk… more
- Raymond James Financial, Inc. (New York, NY)
- …**Qualifications:** **Knowledge, Skills, and Abilities** **Knowledge of** + Federal Reserve, OCC, FINRA , SEC , and other relevant regulatory guidance + ... tooling strategy in order to effectively identify, measure, monitor, control and report on risks on a timely and...risk-related regulatory requirements (eg, OCC, FRB, FDIC, SEC , FINRA ) and ability to apply data… more
- MUFG (New York, NY)
- …working with the financial industry regulators, including OCC, FRB, SEC and FINRA and responding to regulatory requests. + Proficient understanding of the ... and work programs. + Evaluate design and operational effectiveness of internal controls and identify control weaknesses. + Generate insightful, meaningful… more
- Bloomberg (New York, NY)
- …including private BDCs, non-traded + REITs, and 506(c)/3(c)(7) vehicles and stay current on regulatory developments ( SEC , FINRA , 1940 Act) + Use business ... + Knowledge of US regulatory frameworks relevant to semi-liquid funds (eg, SEC , FINRA , 1940 Act compliance) + Strong analytical and problem-solving skills… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …industry compliance. + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state ... between the organization and industry committees such as SIA, FSI, and the FINRA . + Reviews compliance controls and recommends appropriate changes, as required.… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and/or banking compliance. + Rules and regulations of: Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); state ... + Implement formal testing protocols for key risks and controls . + Monitor regulatory developments and assess...with enterprise governance structures. + Maintain policy mappings to regulatory obligations and control frameworks such as… more