- SMBC (New York, NY)
- …advisory function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief ... and Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in US securities… more
- BMO Financial Group (New York, NY)
- …- dealer CCO would manage the implementation, maintenance and administration of the broker - dealer compliance programs. Broker - dealer businesses ... The BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker - dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and… more
- Robert Half Legal (San Diego, CA)
- Description Financial Services Company Seeks Senior Attorney Focused on Broker - Dealer Compliance & FINRA Arbitrations About Firm & Position: A ... financial services organization is seeking a Associate General Counsel - Broker - Dealer Regulatory Compliance to join its growing corporate legal… more
- JPMorgan Chase (New York, NY)
- …capabilities and skills** + Strong experience and familiarity with broker - dealer cash equities legal, regulatory and compliance issues, broker ... Group within the Corporate & Investment Bank as a Broker - Dealer & Cash Equities Attorney. As a...trading businesses. You will work closely with the business, compliance , other internal control functions, internal and external legal… more
- CIBC (New York, NY)
- …and strong work ethic Preferred Qualifications: + 5-7 years of registered US broker - dealer compliance and risk management experience + Prior experience ... Compliance Examination Plan established to ensure adherence with broker - dealer requirements and compliance with federal and self-regulatory organization… more
- Huntington National Bank (Columbus, OH)
- …Financial Advisors (HFA), Huntington Securities Incorporated (HSI), and Capstone Partners broker - dealer compliance program functions including implementation ... Internal Audit, and Legal. Basic Qualifications: + Bachelor's degree + Experience as broker dealer Chief Compliance Officer or lead compliance director… more
- Arena Investors LP (Jacksonville, FL)
- …at a SEC-registered investment adviser (primarily private credit exposure); . Experience with broker - dealer compliance (ideally Series 7 or Series 14 ... policies and procedures; . Administration of firm (Investment Adviser and Broker - Dealer ) annual compliance review (testing and monitoring); . Conflicts of… more
- Vanguard (Malvern, PA)
- …To support its growing and evolving service offerings, Vanguard seeks a highly skilled broker - dealer compliance professional to lead strategic compliance ... with building, maintaining, and enhancing an evergreen and comprehensive compliance program for Vanguard's broker - dealer ...evergreen and comprehensive compliance program for Vanguard's broker - dealer business. Working for the Chief … more
- City National Bank (Los Angeles, CA)
- …Compliance Officer will report to a supervisor with the Wealth Management Broker / Dealer Compliance division. *The Responsibilities* * Review marketing ... Minimum 5 years of relevant work experience with a financial institution such as a broker / dealer . * Minimum 3 years compliance experience with a broker /… more
- Insight Global (New York, NY)
- … Compliance Officer will report to a supervisor with the Wealth Management Broker / Dealer Compliance division. * Review marketing material for consistency ... 5 years of relevant work experience with a financial institution such as a broker / dealer . Minimum 3 years compliance experience with a broker / dealer… more
- GE Vernova (New York, NY)
- …capital markets products and services, including third-party fundraising and management. + Broker - Dealer Compliance : Coordinate and execute compliance ... obligations for regulated securities transactions arranged through a registered Broker - Dealer and Financial Industry Regulatory Authority (FINRA) member firm,… more
- JPMorgan Chase (New York, NY)
- …of cryptocurrency and other digital assets. You will be experienced in Bank and/or Broker / Dealer Compliance and be responsible for developing and overseeing ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging… more
- Vanguard (Malvern, PA)
- … supervision and relevant supervisory control regulations. + Strong knowledge of Broker Dealer compliance , front-line supervisory practices, and incentive ... to building a robust and modern supervisory framework that ensures compliance , accountability, and scalable oversight across business channels. This leader will… more
- Cleveland Research Company (Cleveland, OH)
- … Officer in identifying and mitigating potential conflicts and risks associated with a Broker Dealer firm. Our Compliance Department develops and maintains ... Compliance Associate Cleveland Research Company is an independent...Cleveland Research Company, LLC, an equity research firm and Broker Dealer registered in Cleveland, Ohio, is… more
- Wells Fargo (New York, NY)
- …and Investment Banking (CIB) Compliance team and requires deep expertise in broker - dealer regulations and lending compliance . **In this role, you will:** ... role:** We are seeking a highly experienced Senior Lead Compliance Officer to support the Structured Products Group (SPG)...in FINRA, SEC, FRB, and OCC regulations related to broker - dealer and ABS activities. + Familiarity with… more
- Raymond James Financial, Inc. (New York, NY)
- …**Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker / dealer compliance and/or branch exams + Rules and ... all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and...and adverse trends are identified and escalated + Provide compliance support to business partners, as needed + Maintain… more
- Vanguard (Charlotte, NC)
- …seasoned compliance professional to lead monitoring and testing for our broker - dealer 's Cash program, which includes banking-like features such as deposits, ... of the investment and financial services industry, with a focus on broker - dealer operations and banking-like features. Monitors regulatory developments and… more
- Capital One (Mclean, VA)
- Manager, Broker Dealer Accounting Does the idea of working with professional, highly trained accountants inspire you? Are you an accounting professional with a ... a highly motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority (FINRA)… more
- M&T Bank (Baltimore, MD)
- …of defense risk management responsibilities of the Investment Bank and Institutional Broker - Dealer in accordance with the Enterprise Risk Framework. Oversee the ... team on risk and control topics impacting the Institutional Broker - Dealer , Corporate Securities Underwriting, and Syndications/ Participations. **Primary… more
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** We're looking for a Senior Privacy Specialist to join our Broker Dealer team in Principal Securities. In this role, you'll serve as ... the privacy of, and access to employee and customer information in compliance with federal and state laws, and the organization's information privacy practices.… more