- HSBC (New York, NY)
- …risk management concepts + Experience in regulatory risks, with an understanding specifically in FINRA , SEC, and CFTC In compliance with applicable laws, HSBC is ... Corporate and Institutional Banking (CIB) business in the management, oversight, and compliance to all regulatory requirements, with a primary focus in the… more
- Robert Half Finance & Accounting (New York, NY)
- … consultancy firm or investment advisor/wealth manager. The candidate must have Compliance Testing experience relating to SEC, FINRA and CFTC Regulations. ... role covers the whole compliance program including monitoring/testing, regulatory compliance /risk (SEC, FINRA , CFTC), and employee compliance /personal… more
- Foresters Financial Services (Dublin, OH)
- …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
- Santander US (Mashpee, MA)
- …+ Maintain required professional training and license requirements, including knowledge of FINRA compliance , FDIC compliance , the Bank's uninsured Products ... goals as defined on a quarterly basis + Maintain compliance with all applicable bank, broker/dealer, State and Federal...an MBA, CFP, CHLU or CHFC preferred. + Licenses/Certifications: FINRA licenses 7 and 66, or 7 and 63… more
- Santander US (Freehold, NJ)
- …+ 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
- Santander US (Boston, MA)
- …+ Maintain required professional training and license requirements, including knowledge of FINRA compliance , FDIC compliance , the Bank's uninsured Products ... around the client investment/insurance service needs and maintaining consistent with compliance and operations standards + Proactive daily client management of… more
- Wells Fargo (San Diego County, CA)
- …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
- Wells Fargo (Minneapolis, MN)
- …+ Knowledge and understanding of credit risk management + Strong risk management and compliance skills + FINRA registration including Series 7 and 24 (or ... FINRA recognized equivalents) **Job Expectations:** + Registration for FINRA Series 7 & 24 must be completed within a 90 or 180-day time period contingent upon… 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
- First National Bank of Omaha (Omaha, NE)
- …all policies, laws, and regulations applicable to role (including OCC, SEC, and FINRA ). + Complete compliance training; follow internal processes and controls as ... and monitor adherence to departmental policies and procedures to ensure compliance with regulatory requirements. Perform oversight and monitoring activities for FNA… 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
- Cabrera Capital Markets, LLC (Chicago, IL)
- …financial market infrastructure. + Familiarity with industry regulations, including SEC, FINRA , and international compliance requirements. + Experience with ... operational efficiency, resolve critical issues, and maintain rigorous regulatory compliance standards. Essential Duties and Responsibilities + Oversee middle 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
- ADP (Florham Park, NJ)
- …REQUIRED:** + 1 year experience in a client service call center environment required. + FINRA 6 & 63 required A college degree is great but not required. What is ... and a leader in business outsourcing services, analytics, and compliance expertise. We believe our people make all the...conducting business with the highest ethical standards and full compliance with all applicable laws. We also expect our… more
- Truist (Charlotte, NC)
- …and regulatory knowledge with an emphasis on: Credit, Market, Liquidity, Compliance , Operational, Reputation and Strategic Risks. + Strong leadership and ... **Preferred Qualifications:** + Master's degree in finance or equivalent science/academic field. + FINRA Series 79, 24 (may be required once on boarded if not… more
- Robert Half Finance & Accounting (Boca Raton, FL)
- …Advisor), Private Equity Firm, Broker Dealer or similar. Knowledge of reporting to FINRA or SEC. Key Responsibilities: + Oversee compliance reporting and ... of small to mid-sized businesses, we are seeking a Compliance Analyst to support and enhance our firm's regulatory...Firm, Broker Dealer or similar. Knowledge of reporting to FINRA or SEC. + Background in paralegal work, tax,… more
- ADP (Allentown, PA)
- …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
- Commerce Bank (St. Louis, MO)
- …with organizational objectives and market opportunities + Ensure team adherence to FINRA , SEC, and internal compliance policies, conducting regular reviews and ... service. This role will focus on recruitment, coaching, business development, and compliance to align with corporate goals and regulatory requirements. The Sales… more
- TIAA (Stamford, CT)
- …registered representatives and associated persons of the broker-dealer. This job ensures firm compliance with FINRA , SEC, MSRB, OCC, state and other regulators, ... and Duties** + Provides advice and interpretation of code of ethics and compliance , including corporate policies and procedures to assigned business unit or units. +… more