- Wintrust (Chicago, IL)
- …accounts Go on calls with clients and potential clients Maintain a high level of compliance with FINRA , SEC , and firm rules and regulations Meet sales ... profits Cultivate our client base and build win-win relationships Adhere to compliance with all industry rules and regulations Administer presentations for new… more
- Monroe Capital LLC (Chicago, IL)
- …10+ years of related experience (within the compliance function of a SEC registered investment adviser and FINRA registered firm) FINRA Series ... throughout the organization Implement and maintain a Broker/Dealer compliance program consistent with FINRA requirements Requirements Qualifications:… more
- Crdit Agricole CIB (New York, NY)
- …Key External contacts The Firm's regulators, including but not limited to FRB, NYDFS, FINRA , SEC , NFA, and CFTC. Supplementary Information Salary Range: $250k - ... 27/06/2025 Job description Business type Types of Jobs - Compliance / Financial Security Job title Head of Investment...in dealing with US financial industry regulators Required skills FINRA Series SIE, 79, 24, 63 or the ability… more
- Shulman Fleming & Partners (New York, NY)
- …Deep understanding of financial regulations and industry standards ( SEC , FINRA , GDPR, etc.) Key Outcomes: Improved compliance monitoring and surveillance ... VP, IT Compliance Systems Business Analyst with Financial Experience Must...will bridge business needs and IT solutions within the compliance field. This role involves analyzing requirements, designing technology… more
- Webster Bank (Hamilton, NY)
- …focus on those related to bank holding companies and national banks Strong knowledge of SEC laws and regulations and FINRA rules and guidance Current or recently ... enjoy meaningful work! Position Summary The Director, Investment Services Compliance is responsible for assisting the Managing Director, Privacy...inactive (within two years) FINRA Series 7 General Securities, Series 24 General Securities… more
- Interactive Brokers (Greenwich, CT)
- …Compliance activities as needed. Qualifications At least 5+ years of experience with the SEC , FINRA , CFTC, NFA, an exchange, an accounting firm or law firm ... Interactive Brokers LLC is looking for a motivated and talented Head of Compliance Testing who is knowledgeable of US securities and/or commodities regulations, and… more
- Dimensional Fund Advisors, LP (Charlotte, NC)
- …financial services industry and applicable rules, regulations, and federal and state securities laws ( SEC , FINRA , FCA, etc.) Series 7 or working towards Series 7 ... process, such accommodation is available upon request. Job Description: Dimensional's Compliance department is charged with the development and oversight of the… more
- BNP Paribas (Jersey City, NJ)
- …Project Management. KYC is seeking a VP-level advisor to provide compliance coverage primarily for Financial Institutions clients within Corporate & Institutional ... leaders. Demonstrates the ability to influence stakeholders at the team level. Compliance Culture and Conduct: Takes full responsibility for personal actions and… more
- Futu US, Inc. (Jersey City, NJ)
- …experience. Here's a closer look at our key entities: Futu Clearing Inc.: An SEC registered FINRA member dedicated to delivering top-tier clearing and execution ... services globally. Moomoo Financial Inc.: As an SEC registered FINRA member, we provide retail investors access to both US and Asian securities markets, ensuring… more
- Raymond James Financial, Inc. (Birmingham, AL)
- …65 or Series 66_RA - Investment Adv Rep - Financial Industry Regulatory Authority ( FINRA ), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority ... new client development, sales activities, investment management, customer service and compliance with personal and professional growth and development. The Trainee… more
- Raymond James Financial, Inc. (Beverly Hills, CA)
- …65 or Series 66_RA - Investment Adv Rep - Financial Industry Regulatory Authority ( FINRA ), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority ... or services. * Firm's working structure, policies, mission, strategies, and compliance guidelines. Skill in * Operating client relationship manager system and… more
- US Bank (Greenacres, WA)
- …- Experience with the policies, processes and procedures of the brokerage industry, FINRA and SEC regulatory standards and all applicable regulatory bodies, ... - To be eligible for business incentives, must have FINRA SIE, Series 6 or 7, 63 registrations and...- Proven understanding of operations, policies, procedures, regulations and compliance requirements - Strong analytical skills with an emphasis… more
- Fidelity Investments (Merrimack, NH)
- …trends? Do you have an understanding of regulatory reporting requirements for SEC -registered investment companies? If this sounds like you, this job is for ... products. These include prospectuses, statements of additional information, and more-ensuring compliance with evolving securities laws. In this role, you will:… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Ensure regulatory compliance and fiduciary alignment with industry standards, including SEC , FINRA , and other governing bodies. Lead marketing and branding ... and distribution efforts to expand market reach and drive growth. Ensuring compliance with regulatory standards, the President fosters a culture of innovation,… more
- K&L Gates (Boston, MA)
- …ADV, federal and state securities laws and investment company filings. Knowledge of the SEC EDGAR, FINRA IARD/CRD and EFD filing systems and processes is ... Manager; paralegals, and clients ESSENTIAL DUTIES Experience with Blue Sky research, obtaining SEC access codes, preparation of Form D and Form ADV, and documents… more
- Healthcare Association of New York State (Rensselaer, NY)
- …continuing education training courses, seminars, and conferences, as scheduled, to meet FINRA , SEC , and NYS Insurance Department requirements. Engages clients in ... gather necessary information to fully understand and communicate the client's compliance requirements. Educates senior management on plan design, operation, and… more
- BNP Paribas (New York, NY)
- Business Overview: The Management of BNP Paribas has committed to ensure compliance with AML / Embargo & Sanctions rules within the entire Group. In this context, ... Group Compliance has decided to have a strong and permanent...language skills a plus in particular French. Graduate degree. FINRA Registrations Required: Not Applicable CFTC Swap Dealer Associated… more
- BNP Paribas (New York, NY)
- Business Overview: The Management of the BNP Paribas has committed to ensure compliance with AML/Embargo & Sanctions rules within the entire Group. In this context, ... Group Compliance has decided to have a strong and permanent...of BNP Paribas Group activities and organization a plus FINRA Registrations Required: Not Applicable CFTC Swap Dealer Associated… more
- Scotiabank (New York, NY)
- …and systems Knowledge of regulatory frameworks related to market abuse and conduct (eg FINRA , CFTC, SEC , FCA) Strong analytical skills with a proven ability to ... Purpose Seeking a detail-oriented Senior Audit Manager who is seasoned Compliance Auditor with significant experience in Trade Surveillance audits, focused on… more
- BNP Paribas (Jersey City, NJ)
- …the ability to persuade and influence stakeholders at the team level Compliance Culture and Conduct Takes full responsibility for personal actions and demonstrates ... through the development of marketing materials and execution of campaigns. Regulation Compliance : Adhere to legal and compliance requirements when designing… more
