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global strategy is to be the pre-eminent wealth manager, leading in client value and advice, and the universal bank of choice for our clients. Your colleagues You will be part of the AML team which is responsible for...
Associate General Counsel, Broker-Dealer/Investment Advisor Group The candidate... with the Vice President, Broker-Dealer/Investment Adviser Group, to develop... in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering... independent expert advice in this area. Demonstrate expertise with respect to the Exchange Act...
FINRA FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. FINRA is an equal opportunity employer and provides equal opportunity to all individuals without regard to race, color, religion, sex, gender identity, sexual orientation, age,...
Title: Associate General Counsel, Regulatory Salary Information: - Minimum Salary: $149,600 - Maximum Salary: $351,200 - Actual compensation based on factors such as skill set, experience, education, and internal peer comparisons. - Full pay ranges provided for candidate to consider...
Title: Tax Senior Manager - Financial Services - Mutual Fund (East Region City Locations) Experience: 8+ years Salary Range: $119,490 - $272,090 Locations: Available in 22 cities Position Summary: - Seeking a leader with a passion for financial...
Manager - Financial Services - Mutual Fund Tax (East Region City Locations) Salary Information: $84,980 to $193,440 per year, plus potential for annual incentive program Job Title: Tax Manager Experience: 5+ years providing tax planning services or...
Friendly Job Title: Principal Analyst, Regulatory Services Management H1 Heading: Join FINRA as a Principal Analyst in Regulatory Services Management H2 Heading: Exciting Opportunity in Market Regulation and Transparency Services Bold Headlines: - Senior-level professional work in...
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a principal analyst in risk monitoring, you will be responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members. You will report to a Risk Monitoring Director and support them in identifying existing and emerging risks. This...
Friendly Job Title: Principal Analyst, Risk Monitoring - Any FINRA Location H1: Join FINRA as a Principal Analyst, Risk Monitoring H2: Conduct Risk Monitoring Activities and Assessments for FINRA Members Bold Headline: Senior-Level Position with Opportunity for...