- JPMorgan Chase (New York, NY)
- …valuable regulatory insight. As the Wealth Management, Financial Products and Regulatory Attorney - Vice President, Assistant General Counsel on the Wealth ... you will provide critical analysis and discussion of wealth management-specific regulatory issues, ongoing support of investment products distribution issues, and… more
- Wells Fargo (Los Angeles, CA)
- … and guidance regarding complex employment law issues + Experience with FINRA matters, including providing counsel and guidance regarding complex employment ... **About this role:** Wells Fargo is seeking a Senior Counsel to join the Employment Counseling & Litigation Section...**Desired Qualifications:** + Ability to analyze employment law and regulatory issues and provide effective advice to clients on… more
- CIBC (New York, NY)
- …Doing** As a member of the US Capital Markets Legal team in New York, Counsel - US Equity Finance, you will provide transactional and advisory legal services to ... connection with various equity finance, derivatives, and other transactions; providing regulatory advice in respect of requirements under applicable US laws;… more
- Scotiabank (New York, NY)
- …Consolidated Audit Trail (CAT) requirements, etc. + Experience responding to FINRA regulatory inquiries and examination requests/findings. + Experience ... management and US Compliance personnel on relevant compliance issues, the regulatory environment, and Compliance Department initiatives by actively participating in… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …managers. Provides subject matter expertise with respect to succession strategies, FINRA 2040b, team enhanced compensation and catastrophic planning to develop a ... plan for clients. * Educate financial advisors on succession strategies, FINRA regulation, exit strategies, practice valuation and payment options. * Consult… more
- US Bank (Milwaukee, WI)
- …environment with exposure to securities matters is desired. + Knowledge of SEC and FINRA rules or regulatory filings applicable to mutual funds/ETFs is a plus. ... you excel at-all from Day One. **Job Description** **1940 Act Paralegal / Regulatory Administrator** 1940 Act Paralegals are a key point of direct interaction with… more
- Morgan Stanley (Purchase, NY)
- …Act of 1934, and Securities Act of 1933, rules of the Financial Industry Regulatory Authority ( FINRA ), and a variety of state laws governing standards of ... along with counterparties at external financial services firms and outside counsel . Primary Responsibilities: The following is an illustrative, non-exhaustive list… more
- Raymond James Financial, Inc. (Pittsburgh, PA)
- …Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority ( FINRA ); and state securities regulatory agencies; ... Officer, Chief Administration Officer, Director of Business Development, Chief Counsel , Chief Information Security and Privacy Officer, Chief Compliance Officer,… more
- Citigroup (New York, NY)
- …and help the business plan for changes in the compliance and regulatory environment. + Providing counsel to ICRM and function/business/product management ... and compliance monitoring programs, identify reporting metrics associated with regulatory compliance program execution and develop corrective action plans to… more
- Truist (Richmond, VA)
- …Juris Doctorate or other advanced degree + Demonstrated experience and knowledge of FINRA , SEC, and MSRB rules, regulatory agencies, requirements, and/or ... reasonably ensure compliance with the Enterprise Compliance Management Policy and Framework. ** LOCATION :** Candidate must be located in one of the posted locations:… more
- First Horizon Bank (Little Rock, AR)
- **Description** ** Location ** : On site at location listed in job posting. **Summary** The Wealth Management Client Specialist will be actively involved in ... to retrieving relevant executed documentation from clients and in compliance with regulatory procedures * Reviews client account activity on a daily, weekly, and… more
- First Horizon Bank (Jackson, TN)
- **Description** ** Location ** : On site at location listed in job posting. **Summary** The Wealth Management Client Coordinator will be actively involved in ... relevant executed documentation from clients and in compliance with regulatory procedures * Serves as a liaison between the...skills. General banking and operations experience is helpful 6. FINRA Licenses 7 & 66 preferred 7. Appropriate State… more
- Citigroup (New York, NY)
- …Significant impact on the area through complex deliverables. Provides advice and counsel related to the technology or operations of the business. Work impacts ... in support of strategic business objectives. + Accountable for monitoring regulatory developments for changes in regulation and interpretive guidance. + **Key… more
- Citigroup (O'Fallon, MO)
- …in terms of project size, geography, etc. by influencing decisions through advice, counsel and/or facilitating services to others in area of specialization. Work and ... engagement with clients- High touch, face-to-face meetings at client's preferred location , consistent communication, access to seminars, etc. + Master referral… more
- Citigroup (O'Fallon, MO)
- …in terms of project size, geography, etc. by influencing decisions through advice, counsel and/or facilitating services to others in area of specialization. Work and ... leads. + Manage client follow-up and adhere to all Regulatory and Compliance operating procedures + Ensure that KYC/AML...team player able to work without direction + Required FINRA licenses Series 6, 65 and 63 (candidates with… more
- Scotiabank (New York, NY)
- …Rates). + Developing and maintaining effective industry relationships with legal counsel , external parties, clients (in collaboration with senior coverage officers) ... the CRM with relevant information periodically + Ensure compliance with regulatory requirements and internal compliance policies + Helpdrive the underwriting and… more