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Hire Counsel-New York
to compliance with U.S. securities laws and regulations, particularly those overseen by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). The role may involve ensuring that the firm adheres to SEC regulations...
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Lenmar Consulting Inc.-Jersey City
commodities, and banking regulations, including the rules and regulations of the SEC (i.e., SEC Rule 15c3-5, SEC Rule 15a-6), CFTC and all exchanges and associations under such federal agencies, including FINRA, NYSE, CBOE, ISE, CME, NYMEX and ICE US...
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Commonwealth Financial Network LLC-Cincinnati
dealer and investment adviser activities remain in compliance with applicable SEC, FINRA and state rules and regulations, including the requirements of the Investment Advisers Act, Securities Exchange Act, FINRA and state rules, as applicable...
Financial Industry Regulatory Authority-Woodbridge (NJ)
Council (NAC).Essential Job Functions:Represent FINRA in a first or second chair capacity in complex disciplinary proceedings involving violations of the federal securities laws, FINRA and NASD Rules, Municipal Securities Rulemaking Board (MSRB) rules...
16 similar jobs: Chicago, Boca Raton, Jericho, New York, Boston...
Innovayte-Dallas
produces information to fulfill ETCB SEC and FINRA financial regulatory reporting requirements, (2) maintains the chart of accounts mapping between accounting systems and the FIS sub-ledger to accurately reflect the firm’s clearing activity on financial...
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Wells Fargo-San Jose
or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education3+ years of management experienceUS only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9, 10...
Velox Clearing-Miami
expertise in securities regulatory frameworks and be able to guide internal teams through regulatory changes and requirements, interacting with regulatory bodies (FINRA, SEC, etc.), driving compliance processes, and ensuring the firm maintains a high...
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Commonwealth Financial Network LLC-Cincinnati
Commonwealth
Commonwealth Financial Network, Member FINRA/SIPC, a Registered Investment Adviser, provides a suite of business solutions that empowers more than 2,000 independent financial advisors nationwide. Privately held since 1979, the firm has...
Santander Holdings USA Inc-New York
Primarily responsible for executing compliance processes and controls for initiating, maintaining, and updating SEC, CFTC, FINRA, NFA related registrations and filings for the Firm and associated persons including Forms U4/U5, Form BD, Form BR, Form 7R...
Commonwealth Financial Network LLC-Cincinnati
company, and you.
About Commonwealth
Commonwealth Financial Network, Member FINRA/SIPC, a Registered Investment Adviser, provides a suite of business solutions that empowers more than 2,000 independent financial advisors nationwide. Privately held since...
moomoo-Jersey City
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 U.S. and Asian securities markets, ensuring...
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Prudential-United States
/registration
*Responsibilities*:
• Study towards obtaining required FINRA and resident state licenses during the Pre-Contract CDP Affiliate phase.
• Part-time employment as a CDP Contract Associate upon successful completion of the Pre-Contract Affiliate phase...
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moomoo-Dallas
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 U.S. and Asian securities markets, ensuring...
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Capital One-New York
three institutional FINRA registered broker dealers and provide compliance support to the Capital Markets line of business, a division within the Commercial Bank of Capital One, as necessary. The broker dealers being supported include Capital One...
moomoo-Jersey City
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 U.S. and Asian securities markets, ensuring your...
resume-library.com -
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