TILA, RESPA, HMDA, FCRA, FACT, fair lending, CRA, Reg. D, Reg. E, Reg. DD, Reg. EE, Reg. O, GLBA, privacy, UDAAP, etc.) Understanding of FINRA and SEC rules At RSM, we offer a competitive benefits and compensation package for all our people. We support and inspire you to prioritize your more »
TILA, RESPA, HMDA, FCRA, FACT, fair lending, CRA, Reg. D, Reg. E, Reg. DD, Reg. EE, Reg. O, GLBA, privacy, UDAAP, etc.) Understanding of FINRA and SEC rules At RSM, we offer a competitive benefits and compensation package for all our people. We support and inspire you to prioritize your more »
communication and interpersonal skills, with the ability to collaborate effectively with stakeholders at all levels of the organization. Experience with regulatory compliance (e.g., SEC, FINRA, GDPR) and security best practices in the financial services industry. Proven track record of successfully delivering complex technology projects on time and within budget. more »
Charlotte, North Carolina, United States Hybrid / WFH Options
NTT DATA
in Risk and/or Compliance supporting the Financial Services industry - Experience in one or more of the areas below: - Capital Market Regulations, including FINRA, SEC, DTCC, etc. - Financial Crimes, including AML Risk Assessment, KYC (CDD+EDD), transaction monitoring and sanctions screening - Fraud Management, including synthetic and digital fraud - Governance Risk more »
in Risk and/or Compliance supporting the Financial Services industry - Experience in one or more of the areas below: - Capital Market Regulations, including FINRA, SEC, DTCC, etc. - Financial Crimes, including AML Risk Assessment, KYC (CDD+EDD), transaction monitoring and sanctions screening - Fraud Management, including synthetic and digital fraud - Governance Risk more »
the equivalent combination of education and experience is required. 5-7 years of total work experience is preferred. Experience in brokerage processing is preferred. FINRA license is required - 9/10 or 24 At BNY Mellon, our inclusive culture speaks for itself. Here's a few of our awards: Fortune more »
Littleton, Colorado, United States Hybrid / WFH Options
Empower
Bachelor's degree, business or finance preferred. 2+ years customer service experience in financialindustry Experience trading in equities, fixed income and options preferred FINRA Series 7 and Series 63 required . FINRA fingerprinting upon hire What will set you apart Demonstrate enthusiasm for providing quality service in a professional more »
Littleton, Colorado, United States Hybrid / WFH Options
Empower
industry experience with demonstrated sales success required. Exceptional listening, verbal, and presentation skills. In-depth understanding of retail investment vehicles and qualified retirement plans. FINRA Series 7, 63, and 65 (or 66) registrations required. FINRA fingerprinting required. What Will Set You Apart: A passion for helping mass-affluent customers structure more »
registrations may be obtained at Edward Jones during the assigned study period At least 3-5 years of relevant experience in securities industry preferred FINRA licenses required within three months. State insurance licenses required As an associate, you are required to complete all ongoing training offered by the firm and more »
registrations may be obtained at Edward Jones during the assigned study period At least 3-5 years of relevant experience in securities industry preferred FINRA licenses required within three months. State insurance licenses required As an associate, you are required to complete all ongoing training offered by the firm and more »
registrations may be obtained at Edward Jones during the assigned study period At least 3-5 years of relevant experience in securities industry preferred FINRA licenses required within three months. State insurance licenses required As an associate, you are required to complete all ongoing training offered by the firm and more »
registrations may be obtained at Edward Jones during the assigned study period At least 3-5 years of relevant experience in securities industry preferred FINRA licenses required within three months. State insurance licenses required As an associate, you are required to complete all ongoing training offered by the firm and more »
registrations may be obtained at Edward Jones during the assigned study period At least 3-5 years of relevant experience in securities industry preferred FINRA licenses required within three months. State insurance licenses required As an associate, you are required to complete all ongoing training offered by the firm and more »
registrations may be obtained at Edward Jones during the assigned study period At least 3-5 years of relevant experience in securities industry preferred FINRA licenses required within three months. State insurance licenses required As an associate, you are required to complete all ongoing training offered by the firm and more »
registrations may be obtained at Edward Jones during the assigned study period At least 3-5 years of relevant experience in securities industry preferred FINRA licenses required within three months. State insurance licenses required As an associate, you are required to complete all ongoing training offered by the firm and more »
registrations may be obtained at Edward Jones during the assigned study period At least 3-5 years of relevant experience in securities industry preferred FINRA licenses required within three months. State insurance licenses required As an associate, you are required to complete all ongoing training offered by the firm and more »
registrations may be obtained at Edward Jones during the assigned study period At least 3-5 years of relevant experience in securities industry preferred FINRA licenses required within three months. State insurance licenses required As an associate, you are required to complete all ongoing training offered by the firm and more »
registrations may be obtained at Edward Jones during the assigned study period At least 3-5 years of relevant experience in securities industry preferred FINRA licenses required within three months. State insurance licenses required As an associate, you are required to complete all ongoing training offered by the firm and more »
registrations may be obtained at Edward Jones during the assigned study period At least 3-5 years of relevant experience in securities industry preferred FINRA licenses required within three months. State insurance licenses required As an associate, you are required to complete all ongoing training offered by the firm and more »
client impact is directly related to our success in attracting, retaining, and developing a talented and diverse workforce. Field Supervision Directors are registered with FINRA as designated supervisory principals to enforce firm and regulatory compliance rules and policies over assigned branch offices. Compliance Field Supervisors utilize extensive electronic processing systems more »
client impact is directly related to our success in attracting, retaining, and developing a talented and diverse workforce. Field Supervision Directors are registered with FINRA as designated supervisory principals to enforce firm and regulatory compliance rules and policies over assigned branch offices. Compliance Field Supervisors utilize extensive electronic processing systems more »
applicable regulations. Maintains a department-wide system that ensures consistent monitoring of document or information requests. Business Proficiency - Maintains a strong knowledge of FinancialIndustryRegulatoryAuthority requirements, U.S. Securities and Exchange Commission regulations, Bank policy, and other mandatory rules affecting securities and trade. Utilizes knowledge to provide guidance and more »
policies and procedures. What you have: High School Diploma or General Equivalency Diploma required. Required maintenance of Life/Health license. Required maintenance of FINRA Series 7 license. Required maintenance of FINRA Series 66 (or 63 and 65) license. Must be able to successfully pass background check and meet all more »
policies and procedures. What you have: High School Diploma or General Equivalency Diploma required. Required maintenance of Life/Health license. Required maintenance of FINRA Series 7 license. Required maintenance of FINRA Series 66 (or 63 and 65) license. Must be able to successfully pass background check and meet all more »
policies and procedures. What you have: High School Diploma or General Equivalency Diploma required. Required maintenance of Life/Health license. Required maintenance of FINRA Series 7 license. Required maintenance of FINRA Series 66 (or 63 and 65) license. Must be able to successfully pass background check and meet all more »
