, so that Bank's risk/position is updated real-time and applicable regulatory obligations (Dodd Franck, EMIR, FINRA... of experience in a Front or Middle Office Trade Support role within Global Markets. FINRA Series 7 and 63 Experience and knowledge...
), The USA PATRIOT Act, US Treasury AML guidelines, OFAC, SEC, FINRA, FRB, FinCEN requirements, and SAR requirements...
of the books and records rules of the Securities Exchange Commission (SEC), Financial Regulatory Authority (FINRA), Commodity... is met. This includes the implementation of all regulator driven requirements, including SEC, FINRA, Dodd Frank, NYDFS...
understanding of regulatory requirements (SEC, FINRA, MiFID II) and best practices for electronic communication capture. Expertise...
and prudential regulators and self-regulatory organizations (NYDFS, NYFRB, FRB, SEC, CFTC, FINRA, NFA, MSRB, NYSE, CME... and exchanges (NYFRB, FRB, SEC, CFTC, FINRA, NFA, MSRB NYSE, CME, etc.,) that are applicable to the businesses of a foreign banking...
to ensure compliance with FINRA or other professional licensure requirements, policies, firms, plan documents and state..., CLU, other industry designations desirable FINRA series 6 and/or 26 licenses preferred and may be required based...