• Chief Supervision Officer - Individual Solutions…

    Principal Financial Group (Des Moines, IA)
    …will define, implement, and lead a best-in-class supervisory framework that ensures full compliance with FINRA , SEC , RIA, and state regulatory requirements, ... you ready to shape the future of supervision and compliance at one of the most respected financial institutions...effective remediation strategies in alignment with evolving regulatory demands-including FINRA , SEC , AML, and more. + **Champion… more
    Principal Financial Group (07/26/25)
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  • Senior Supervisory Control Specialist

    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 ... the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands… more
    Wells Fargo (07/25/25)
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  • Manager, SEC Reporting - Hybrid

    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, ... through education and experience to manage the preparation of SEC filings, conduct complex accounting research, and work with...ability to obtain within 120 days (as required by FINRA ), may be required depending on assigned functional area.… more
    Raymond James Financial, Inc. (07/18/25)
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  • Editorial Manager

    Vanguard (Malvern, PA)
    …and functions to ensure business objectives are met while ensuring it's done in compliance with SEC and FINRA rules and regulations. Achieve compliant ... registration (eg FINRA , state, SFC). These will be determined by Compliance based on role-specific duties. + Financial marketing strategy or writing experience… more
    Vanguard (07/23/25)
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  • Fixed Income Compliance Advisor, Vice…

    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
    MUFG (06/08/25)
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  • Sr. Mobility Platform Engineer

    Insight Global (New York, NY)
    …Mobile Device Management (MDM) and Mobile Application Management (MAM). Experience must align with compliance standards such as SEC , FINRA , SOX, and GLBA. ... Microsoft Intune, MobileIron, Microsoft Endpoint Manager, and mobile device compliance policies. - Security and Compliance Knowledge...in a highly compliant environment with standards such as SEC , FINRA , SOX and GLBA - Scripting… more
    Insight Global (07/31/25)
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  • SVP, Capital Markets Chief Compliance

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …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
    Raymond James Financial, Inc. (07/26/25)
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  • Director of Marketing Technology

    US Bank (Atlanta, GA)
    …and maintain data governance standards to ensure compliance with financial regulations (eg, FINRA , SEC , GDPR, CCPA). + Partner with compliance and legal ... Power BI, etc.). + Strong understanding of regulations and compliance requirements related to marketing and data usage. +...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
    US Bank (08/01/25)
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  • Vice President, Senior MarTech Engineer

    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
    Aristotle Capital Management (06/13/25)
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  • Finance Support Associate

    US Tech Solutions (South Jordan, UT)
    …+ 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. **Experience:** + Experience using Microsoft suite. **Skills:** + Ability to demonstrate success in previous roles + Basic clerical and administrative skills + Effective written and… more
    US Tech Solutions (07/26/25)
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  • Chief Compliance Officer

    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
    Equitable (07/15/25)
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  • Manager, Regional Sales - Commerce Financial…

    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
    Commerce Bank (07/09/25)
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  • Executive Director, Swap Dealer Compliance

    CIBC (New York, NY)
    …of daily sales and trading activities of CIBC's derivatives businesses to assess overall compliance with CFTC and SEC rules pertaining to swaps implemented under ... program to support the initiative is implemented; + Conducting Compliance training on matters pertaining to CFTC, SEC...a plus; + Experience as a regulatory examiner with SEC , NFA or FINRA (NFA or … more
    CIBC (07/25/25)
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  • JP Morgan Wealth Management - Vice President…

    JPMorgan Chase (Portland, OR)
    …Degree. + Experience in supervisory or compliance roles. + Knowledge of FINRA , MSRB, and SEC rules. + Strong critical thinking and analytical skills. ... lead and oversee a territory of Financial Advisors, ensuring compliance with regulatory obligations and managing operational risk. You...+ Familiarity with office software applications. + Must hold FINRA Series 7 and one or more of the… more
    JPMorgan Chase (07/11/25)
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  • JP Morgan Wealth Management - Vice President…

    JPMorgan Chase (Pittsford, NY)
    …expertise in managing and overseeing compliance efforts. + Knowledge of FINRA , MSRB, and SEC rules and regulations, ensuring adherence to industry ... active Series 7, 9/10 (or 4, 24, and 53), 66 (or 63/65) FINRA licenses, ensuring compliance with industry standards. + Valid and active Life, Health, and Long… more
    JPMorgan Chase (08/01/25)
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  • Compliance Officer - Vice President

    Arena Investors LP (Jacksonville, FL)
    …. Experienced reviewing marketing materials in line with SEC and FINRA rules; . Experienced conducting annual compliance reviews; . Experienced managing ... and efficiency. . 7 - 10 years of regulatory compliance experience at a SEC -registered investment adviser...insurance clients; . Experienced administering regulatory filings with the SEC , FINRA , FCA, MAS and others; .… more
    Arena Investors LP (05/13/25)
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  • Financial Advisor

    First National Bank of Omaha (Omaha, NE)
    …the community. + Compliance & Ethics: Uphold bank policies, laws, and FINRA / SEC regulations, ensuring compliance with the bank's BSA/AML Program as ... experience. + 3 years of experience in the investment or financial services industry. + FINRA Series 7 and 66 (or Series 63 & 65) registrations. + State Life,… more
    First National Bank of Omaha (08/02/25)
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  • Financial Advisor - Plano

    First National Bank of Omaha (Frisco, TX)
    …the community. + ** Compliance & Ethics:** Uphold bank policies, laws, and FINRA / SEC regulations, ensuring compliance with the bank's BSA/AML Program as ... experience. + 3 years of experience in the investment or financial services industry. + FINRA Series 7 and 66 (or Series 63 & 65) registrations. + State Life,… more
    First National Bank of Omaha (06/07/25)
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  • Compliance Risk Assessment

    SMBC (Jersey City, NJ)
    …controls. Additionally, strong knowledge of either US securities/commodities laws and regulations ( SEC , CFTC, FINRA ) or US banking regulations (eg, Federal ... to drive monitoring and testing activities and to prioritize Compliance and other resources as new emergent risks are...banking regulations (FRB, FDIC, CFPB) or securities/swap dealer regulations ( SEC , CFTC, FINRA , NFA) and related products… more
    SMBC (07/12/25)
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  • Lead Compliance Officer - Personal Account…

    Wells Fargo (Charlotte, NC)
    …Management. + Familiarity with Personal Account Dealing programs. + Strong knowledge of SEC , FINRA , and other relevant regulatory frameworks as it pertains to ... **About this role:** Wells Fargo is seeking a Lead Compliance Officer to support the Personal Account Dealing (PAD)...work experience, training, military experience, education + Must possess FINRA Series 7 securities license within 12 months of… more
    Wells Fargo (07/31/25)
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