- SMBC (New York, NY)
- …and Skills** + Knowledge in US securities laws, rules and regulations, including SEC and FINRA requirements. + Ability to communicate this knowledge and ... Second Lines of Defense regarding a broad range of compliance and regulatory issues and works hand-in-hand with business/function partners to advise on compliance… more
- Ally (Raleigh, NC)
- …related to fraud prevention in the financial services industry, including knowledge of SEC , FINRA , and banking regulations * Preferred licensing: Series 7, ... **The Work Itself** * Develop and implement comprehensive fraud prevention controls , including policy formulation, setting limits, and establishing validation … more
- Santander US (Miami, FL)
- SEC / FINRA Regulatory Controls &...with control team to review, monitor and track controls related to SEC / FINRA regulations. * ... with the Issue Management team. * Work with the control team to monitor compliance with regulatory ...to help assess and escalate identified issues related to SEC / FINRA regulatory controls .… more
- Insight Global (Dallas, TX)
- …of the US Securities and Exchange Commission ( SEC ) and the Financial Industry Regulatory Authority ( FINRA ). The Deputy CCO will play a key role in ensuring ... the development and implementation of compliance policies, procedures, and controls . *Lead training sessions for employees on key compliance...with regulatory exams and inquiries from the SEC , FINRA , and other regulatory … more
- Capital One (New York, NY)
- …controls around the monitoring of trading activity, and ensure ongoing compliance with SEC , FINRA , CFTC, and NFA regulatory requirements. The ideal ... & Audit Support** + Support internal audits and regulatory examinations and inquiries ( SEC , FINRA , CFTC, NFA), including documentation of responses… more
- MUFG (Irving, TX)
- …of controls and compliance with Securities and Exchange Commission ( SEC ), Financial Industry Regulatory Authority ( FINRA ), Commodity Futures ... for the regulatory requirements of the FRB, SEC , FINRA , OCC, CFTC, NFA and IIROC...Assess the adequacy of first- and second-line of defense controls and prepare reviews for senior management detailing assessment… more
- Raymond James Financial, Inc. (New York, NY)
- …**Qualifications:** **Knowledge, Skills, and Abilities** **Knowledge of** + Federal Reserve, OCC, FINRA , SEC , and other relevant regulatory guidance + ... tooling strategy in order to effectively identify, measure, monitor, control and report on risks on a timely and...risk-related regulatory requirements (eg, OCC, FRB, FDIC, SEC , FINRA ) and ability to apply data… more
- MUFG (New York, NY)
- …working with the financial industry regulators, including OCC, FRB, SEC and FINRA and responding to regulatory requests. + Proficient understanding of the ... and work programs. + Evaluate design and operational effectiveness of internal controls and identify control weaknesses. + Generate insightful, meaningful… more
- Bloomberg (New York, NY)
- …including private BDCs, non-traded + REITs, and 506(c)/3(c)(7) vehicles and stay current on regulatory developments ( SEC , FINRA , 1940 Act) + Use business ... + Knowledge of US regulatory frameworks relevant to semi-liquid funds (eg, SEC , FINRA , 1940 Act compliance) + Strong analytical and problem-solving skills… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …industry compliance. + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state ... between the organization and industry committees such as SIA, FSI, and the FINRA . + Reviews compliance controls and recommends appropriate changes, as required.… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and/or banking compliance. + Rules and regulations of: Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); state ... + Implement formal testing protocols for key risks and controls . + Monitor regulatory developments and assess...with enterprise governance structures. + Maintain policy mappings to regulatory obligations and control frameworks such as… more
- Raymond James Financial, Inc. (Denver, CO)
- …and/or banking compliance. + Rules and regulations of: Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); state ... standards and procedures. + Develop and maintain the privacy regulatory control framework. + Develop and provide appropriate guidance, education, training… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …banking compliance reviews. + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state ... violations or potential liability. + Assists Management to implement adequate controls and quality assurance processes to detect and address potential compliance… more
- Raymond James Financial, Inc. (Memphis, TN)
- …banking compliance reviews. + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state ... meaningful input to ensure risk data is captured, risk mitigation strategies and controls are developed when gaps exist, and appropriate reporting mechanisms are in… more
- T. Rowe Price (Owings Mills, MD)
- …The role requires an expert level of knowledge of the FINRA , SEC , MSRB and state broker dealer regulatory requirements and landscape, strong analytical ... regulatory organizations. + Utilizes expert knowledge of regulatory requirements and experience to assess controls ...not currently held Preferred: + Strong knowledge of broker/dealer regulatory requirements including FINRA , SEC ,… more
- Raymond James Financial, Inc. (Denver, CO)
- …industry operations + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state ... data and performance indicators to propose and/or assist with establishing control mechanisms and other improvement initiatives. Identifies trends and assists with… more
- MUFG (New York, NY)
- …support ongoing regulatory projects that have mandated compliance dates by FINRA . The individual will also play a role with certain supervisory functions that ... obligations are met. + Execute appropriate governance and controls to mitigate regulatory and operational risks....Compliance with completing inquiries from Market Regulation Department of FINRA and SEC . + Provide complete, accurate… more
- Wells Fargo (Boston, MA)
- … regulatory , compliance and legal requirements. The Senior Supervisory Control Specialist understands the complexity, partnership needs and customer service ... representatives (eg, financial advisors) to ensure their compliance with FINRA and SEC rules and regulations, as...experience, education. + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and… more
- JPMorgan Chase (Tampa, FL)
- …on marketing-related regulatory topics, industry developments and regulations (including FINRA , SEC , CFPB, FTC etc.). + Conduct compliance assessment of ... Be part of our centralized team as an expert in marketing-related obligations (eg, FINRA 2210, SEC Rule 206, Investment Company/Advisers Act, OCC, MSRB, CFTC,… more
- City National Bank (Irvine, CA)
- …a thorough understanding of CNB's Internal Controls Management Policy, control testing methodologies, and related regulatory and compliance standards. This ... CNB's Internal Controls Management Policy and Standards, control testing methodologies, and related regulatory and...- Certified Information Systems Security Professional * Knowledge of FINRA , SEC , MSRB, FRBNY and OCC rules… more
