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Fixed Income Compliance AVP

LPL Financial Charlotte, NC

• Collaborate with other internal areas including: Legal, Middle-Office, Sales Management, Operations, Technology, Control Units, In-Business Risk… LPL Financial

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Broker/Dealer Compliance Officer (Series 7 & 24 Required) – easy apply

Gradient Financial Group Arden Hills, MN

• Promptly reviews and approves advertising material submitted to Compliance. • Works directly with marketing department to develop compliant… Gradient Financial Group

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Manager, Options Regulation – new

Financial Industry Regulatory Authority (FINRA) Chicago, IL

of the team and developing plan to address these issues.Takes a leadership role in implementing regulatory plans under the direction of senior… Ivy Exec

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Enforcement Counsel – new

Financial Industry Regulatory Authority (FINRA) New York, NY

The Counsel performs a variety of specific duties depending on the section to which assigned, generally including applying advanced analytical skills… Ivy Exec

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Regulatory Analyst, OFDMI - Insider Trading – new

FINRA 100+ Reviews Rockville, MD

The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of relevant rules and… Percipio Media

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Financial Operations Examiner - Member Regulation, ROOR – new

FINRA 100+ Reviews New York, NY

Conduct on-site examinations and assess member organization's financial and operational condition and compliance with SEC and FINRA rules and… Percipio Media

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Graduate/Undergraduate Intern - Financial Reporting – new

FINRA 100+ Reviews Rockville, MD

We are seeking a well-qualified individual for a Undergraduate Internship in our Financial Reporting Department in Rockville, MD. The Summer… FINRA

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Regulatory Coordinator - Member Regulation, ROOR

FINRA 100+ Reviews New York, NY

Regulatory Coordinators monitor and evaluate the financial and operational and sales practice condition of member firms through continuous… Percipio Media

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Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinations (TFCE) Options

FINRA 100+ Reviews New York, NY

The Compliance Examiner conducts routine review and investigations of unusual market activity for evidence of violations of relevant rules and… Percipio Media

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Analyst, Options Regulation

FINRA 100+ Reviews Chicago, IL

We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for… Percipio Media

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Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinations (TFCE) Equities

FINRA 100+ Reviews New York, NY

The Compliance Examiner conducts equities based operational audits for compliance with relevant FINRA, SEC, and exchange client rules. Focus of the… Percipio Media

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Regulatory Analyst - Market Regulation, Fixed Income

FINRA 100+ Reviews Rockville, MD

The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of relevant rules and… Percipio Media

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Administrative Assistant I, Member Regulation, ROOR

FINRA 100+ Reviews New York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified candidate for our Administrative Assistant I opening in New… Percipio Media

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Training Manager, eLearning

Financial Industry Regulatory Authority (FINRA) New York, NY

, as well as supervising Regulatory Training Specialists and support staff of varying levels. The incumbent is expected to have advanced technical… Ivy Exec

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Training Manager, Regulatory Training

Financial Industry Regulatory Authority (FINRA) New York, NY

, as well as supervising Regulatory Training Specialists and support staff of varying levels. The incumbent is expected to have advanced technical… Ivy Exec

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Examination Manager, Member Regulation

Financial Industry Regulatory Authority (FINRA) New York, NY

The Examination Manager develops and supervises District Office regulatory programs and work products related to the routine and special… Ivy Exec

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Manager,Broker Dealer Operations & Financial Responsibility, Member Regulation, ROOR

Financial Industry Regulatory Authority (FINRA) Rockville, MD

Serve as subject matter expert, and provide technical guidance and education on accounting related topics, respond to interpretative questions… Ivy Exec

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High Net Worth Representative – new

Fidelity Investments 100+ Reviews Westlake, TX

• Engage with customers, via inbound calls, responding to their inquires which may include providing… Fidelity Investments

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Financial Services Sales Manager

Fidelity Investments 100+ Reviews Covington, KY

• Accountable for the individual and team success through coaching, managing and leading • Hire new staff, conduct performance appraisals, and… Fidelity Investments

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