- Scotiabank (New York, NY)
- …Consolidated Audit Trail (CAT) requirements, etc. + Experience responding to FINRA regulatory inquiries and examination requests/findings. + Experience ... required. Post graduate degree (JD or MBA) a plus but not required. + FINRA Principal qualification (Series 24) or ability to obtain the qualification after… more
- Thrivent Financial (Minneapolis, MN)
- …Group. The Position is responsible for cultivating, sustaining, and improving supervisory/ regulatory health by providing supervisory leadership and counsel on ... with Registered Representatives (RRs). + Proactively and independently research, advise, and counsel field leaders and RRs on regulatory , supervisory, and… more
- USAA (Phoenix, AZ)
- …acquisition and relationship efforts. Maintains compliance with policies, procedures, and regulatory requirements. We offer a flexible work environment that requires ... projects, and initiatives. + Fulfills the responsibilities of a securities principal as appropriate: In conjunction and coordination with Securities Counsel… more
- Robert Half Legal (Chicago, IL)
- …as well as internal standards + Mange the process and consult with outside counsel and compliance consultants as directed on regulatory questions, filings and ... their team. The ideal candidate will have experience in a compliance or regulatory role, with experience in asset management and previous employment with a financial… more