- 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
- City National Bank (Jersey City, NJ)
- …* Minimum 3 years' experience with Microsoft program. * Knowledge of FINRA /Broker-Dealer compliance issues, specifically Form U4 reportable items, such as ... You will not be employed by City National Bank. *The Opportunity* The Compliance Analyst will review a variety of broker/dealer employee compliance requests… 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 (Syracuse, 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
- 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
- PNC (PA)
- …valued and have an opportunity to contribute to the company's success. As a FINRA Supervisory Principal within PNC Investments, you may be based in a remote ... be available in all geographic locations. **Job Description** + Licensing requirements: FINRA Series 7/66 (63/65). Series 24 (9/10). + Partners with regulatory risk… more
- Atria Wealth Solutions (Marion, IN)
- …+ Maintain Investment Department website. + Ensure the Investment Department is in compliance with FINRA . + Maintain advertising and complaint files as required ... by the FINRA . + Be prepared for compliance audits by the state or Credit Union Service Organization and correct any deficiencies. + Complete continuing education… more
- ADP (Dallas, TX)
- …to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job Responsibilities:** + Educates employees on account information, ... with other business units as needed. **Job Requirements:** + FINRA Series 6 and 63 securities licenses and Securities...and a leader in business outsourcing services, analytics, and compliance expertise. We believe our people make all the… more
- First National Bank of Omaha (Minneapolis, MN)
- …capital markets and institutional sales team, legal counsel, operations and compliance to coordinate transaction execution. **Mergers & Acquisitions** Assist in the ... years of relevant investment banking, capital markets, or private equity experience. + FINRA SIE, 7, 63 and Series 79 License (or equivalent registrations) or… more
- Truist (New York, NY)
- …and regulatory knowledge with an emphasis on: Credit, Market, Liquidity, Compliance , Operational, Reputation and Strategic Risks. 6. Strong leadership and ... + Master's degree in finance or equivalent science/academic field. + Strongly preferred: FINRA Series 7, 52, 53 + Strong knowledge of trading floor rules and… more
- Arena Investors LP (Jacksonville, FL)
- …and regulations; . Experienced reviewing marketing materials in line with SEC and FINRA rules; . Experienced conducting annual compliance reviews; . Experienced ... expand the team through the addition of a senior Compliance Officer. In this role, this individual will work...Advisers Act of 1940; . Support the CCO with FINRA broker-dealer requirements; . Monitoring of Client guidelines and… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …working in a matrixed organization. + Knowledge of financial regulations (eg, SEC, FINRA ) and compliance best practices. Product Marketing Director LOCATION -- ... in customer research and testing + Partner with product, analytics, legal, compliance , and sales teams to ensure marketing initiatives align with business goals… more
- Principal Financial Group (Des Moines, IA)
- …define, implement, and lead a best-in-class supervisory framework that ensures full compliance with FINRA , SEC, RIA, and state regulatory requirements, while ... **What You'll Do** Are you ready to shape the future of supervision and compliance at one of the most respected financial institutions in the industry? We're seeking… more
- ADP (El Paso, TX)
- …benefits administration and a leader in business outsourcing services, analytics, and compliance expertise. We believe our people make all the difference in ... long, proud history of conducting business with the highest ethical standards and full compliance with all applicable laws. We also expect our people to uphold our… more