- Tailored Management (New York, NY)
- …*Apply risk approved policies to prevent client fraud. *Keep current on SEC/ FINRA , Compliance and Firm Policies for transaction-based requests. *Work on ... projects and technology pilots when appointed. *Other duties as assigned. QUALIFICATIONS *College preferred or equivalent experience *3+ years of related experience *Ability to demonstrate success in previous roles *Basic clerical and administrative skills… more
- TheStaffed (New York, NY)
- …(Alts), Hedge Funds, Private Equity *Strong understanding of regulatory frameworks: SEC, FINRA , and global compliance standards. *Ability to translate business ... lead and drive strategic initiatives within the Legal and Compliance functions for a top-tier US Bank. This role...Investments (Alts) space. The ideal candidate will bring deep compliance and legal function expertise, combined with strong product… more
- Direct Counsel (New York, NY)
- …and enforcement actions brought by regulatory agencies. Provide guidance on FINRA advertising compliance and trade reporting requirements. Advise on ... FINRA regulations, financial responsibility rules, and securities transaction compliance . Skills: Superior academic credentials, excellent legal writing, and… more
- Claire Myers Consulting (Boise, ID)
- …Maintain accurate books and records for field offices in accordance with FINRA requirements Provide compliance and risk management guidance to financial ... plays a key part in shaping a culture of compliance and managing risk across the office. The ideal...compliance and regulatory topics What You'll Need: Active FINRA Series 7, 9/10, and 63 registrations (or Series… more
- National Life Group (Montpelier, VT)
- …assigned. Preferred Qualifications LOMA certifications, including the Associate, Insurance Regulatory Compliance ("AIRC") designation FINRA Series 7 and 24 ... Life & Annuity Deputy Chief Compliance Officer/Sr. Compliance Director Company Summary...insurance business in New York. Equity Services, Inc., Member FINRA /SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate… more
- BTIG (New York, NY)
- …to the Head of Equity Research and will review research reports for compliance with FINRA regulations and BTIG's internal research style guidelines. The ... also communicate and work closely with the research analysts and compliance department in finalizing research documents for publishing to institutional investors.… more
- Brookfield Asset Management, Inc. (New York, NY)
- …for the broker-dealer Candidate Qualifications and Requirements 5-7 years of compliance -related experience at a broker-dealer, investment adviser, FINRA , or ... work assignments and exposure to diverse businesses. Job Description The Position: AVP, BOWS Compliance The Firm is seeking to add a Compliance resource to the… more
- AQR (Greenwich, CT)
- …We are seeking a highly motivated and detail-oriented professional to join our Compliance Marketing Review team at the Vice President level, depending on prior ... on a broad range of marketing materials to ensure compliance with regulatory requirements and internal standards. This role... with applicable global regulations (eg, SEC Rule 206(4)-1, FINRA Rule 2210, non-US regulatory regimes) and internal firm… more
- MUFG Bank, Ltd. (New York, NY)
- … with a focus on advisory and policy development. 5+ years of Fixed Income Compliance experience Strong knowledge of FINRA , SEC, NFA and CFTC rules and ... details. Our ideal candidate will possess a strong understanding of regulatory compliance , risk management, and business operations. This role requires someone who… more
- Robinhood (Chicago, IL)
- …the world - we'd love to have you apply. About the team The Compliance team at Robinhood Securities, LLC ("RHS"), and Robinhood Financial, LLC ("RHF"), drives a ... culture of compliance that actively supports the people, process and technologies...we meet our requirements under Firm policy, SEC rules, FINRA regulations and other regulatory agencies. The role is… more
- CAIS (New York, NY)
- …$6 trillion in network assets. We are seeking a highly motivated Structured Notes Compliance Professional to join our growing Compliance team. This is a newly ... role offering the unique opportunity to own and shape the Structured Notes Compliance vertical from the ground up. This individual will be responsible for overseeing… more
- Northwestern Mutual Life Insurance Company (Franklin, WI)
- …and Advisory Services in cross-departmental project teams focusing on compliance , supervision, regulatory issues, marketing and sales strategies, cross-selling, and ... impacting assigned products. Ensure products, programs, and processes appropriately address compliance concerns. Manages a team of people leaders and is responsible… more
- PNC Financial Services Group, Inc. (Aurora, IL)
- …solutions and refers products and services; reviews documentation to ensure compliance . Manages customer pipeline for efficiency. Collaborates with internal and ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history. California… more
- Citigroup, Inc. (New York, NY)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... with transparency. Qualifications: 5-8 years commercial banking or relevant experience Active FINRA Licensing, 79, 63 and SIE (or ability to obtain) Education:… more
- Careers at KKR (Boston, MA)
- …of its sponsored funds and insurance subsidiaries. POSITION SUMMARY The Senior Compliance Officer - Marketing Review will support the Company's compliance ... of our insurance and asset management businesses. The Senior Compliance Officer - Marketing Review will join the ...inquiries. QUALIFICATIONS *Required: Have or obtain shortly after start FINRA Series 7 & 24 licenses. *Bachelor's Degree (or… more
- BNP Paribas (New York, NY)
- …leaders. Demonstrates the ability to influence stakeholders at the team level. Compliance Culture and Conduct: Takes full responsibility for personal actions and ... on business issues including operations, IT, Finance, Tax, Regulatory framework, Legal or compliance , etc. Contribute to a robust GM Hispanic LATAM Control and … more
- Millennium Management LLC (New York, NY)
- …financial aspects of a registered Futures Clearing Merchant ("FCM"), ensuring compliance with regulatory requirements. Responsible for the review of monthly books ... filings, net capital requirements, and other ongoing deliverables. Ensure compliance with net capital requirements of the FCM in...capital requirements of the FCM in accordance with the FINRA Net Capital Rule 15c3-1 by: a. Having an… more
- TD Bank Group (New York, NY)
- …: New York, New York, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $135,000 - $190,000 USD TD is committed to providing fair and ... provide you more specific details for this role. Job Description: TD Securities Compliance team is seeking a Surveillance Quality Assurance Manager to assist with… more
- Raymond James Financial, Inc. (Birmingham, AL)
- …new client development, sales activities, investment management, customer service and compliance with personal and professional growth and development. The Trainee ... products or services. Firm's working structure, policies, mission, strategies, and compliance guidelines. Skill in Operating client relationship manager system and… more
- Infosys (Atlanta, GA)
- …is seeking motivated consulting professionals for its Risk and Compliance Practice. Management Consultants seeking long-term growth and career-enhancing ... next generation of leaders and develop the risk and compliance consulting practice. Responsibilities Deep industry experience and domain...issued by US financial oversight bodies such as Fed, FINRA , SEC, OCC, FRB, FinCen, etc. with an ability… more
