framework. Responsibilities: Own the broker-dealer’s regulatory governance program and calendar, tracking FINRA/SEC/DEA...-dealer compliance or assurance experience, with SEC/FINRA exposure;FINRA Series 7, 14, 27, or 99 preferred. Hands...
Securities Corp. (FASC), a FINRA-registered broker-dealer and member SIPC, and invest directly in companies through First...
, 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...