- Marex (New York, NY)
- …services. For more information visit www.marex.com Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide ... Compliance Plan in line with below responsibilities: Provide Compliance Advisory services to broker - dealer ...below responsibilities: Provide Compliance Advisory services to broker - dealer business lines. Complete or assist in… more
- PIMCO (New York, NY)
- …by the SEC Conduct annual reviews of the Funds, Adviser and limited purpose broker - dealer compliance policies and procedures Participate in the Fund's risk ... new and evolving regulatory requirements Maintain an understanding of investment company, broker - dealer , and investment advisory compliance regulatory focus… more
- Arena Investors I Quaestor Advisors (Jacksonville, FL)
- …at a SEC-registered investment adviser (primarily private credit exposure); *Experience with broker - dealer compliance (ideally Series 7 or Series 14 ... compliance policies and procedures; *Administration of firm (Investment Adviser and Broker - Dealer ) annual compliance review (testing and monitoring);… more
- Capital One (Arlington, 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
- Larson Maddox (New York, NY)
- A prestigious and well-established asset manager and broker - dealer , with a growing portfolio of private equity funds, is seeking a dynamic Chief Compliance ... firm's compliance framework across all business lines, including asset management, broker - dealer operations, and private equity. Ensure full adherence to SEC… more
- CNA (Chicago, IL)
- …our Financial Lines group arising under policies issued to our life agent, broker - dealer , and investment advisor, banking and insurance customers. These claims ... to senior management. Maintains subject matter expertise and ensures compliance with state/local regulatory requirements by following company guidelines, and… more
- USAA (Phoenix, AZ)
- …annuity and/or life insurance distribution through full-service brokerage and bank broker dealer firms. Excellent relationship management skills and demonstrated ... level of business acumen in the areas of annuity business operations, broker dealer sales processes and paperwork, sales suitability, industry practices… more
- Farther (New York, NY)
- …Reuters, etc.) Previous experience at a wealth management firm, broker - dealer , or fintech company Understanding of compliance requirements in investment ... workflows, automated cash management and related features Work with engineering, compliance , and client experience teams to ensure safe and scalable delivery… more
- Marex (New York, NY)
- …in line with below responsibilities: Provide Compliance Advisory services to US Broker Dealer business lines. Complete or assist in completing US Broker ... Dealer related regulatory inquiries. Complete or assist in completing US Broker Dealer BCAC (Business Change Approval Committee ()guidance for management… more
- AQR (Greenwich, CT)
- …minimum experience reviewing marketing material, preferably with an investment adviser or broker - dealer Series 7 and 24 licenses required Strong understanding of ... We are seeking a highly motivated and detail-oriented professional to join our Compliance Marketing Review team at the Vice President level, depending on prior… more
- Societe Generale (New York, NY)
- …as Second Line of Defense of the corporate banking, investment banking and broker - dealer activities across Societe Generale's operations, reporting on the ... General knowledge of applicable regulations relating to Investment Banking, and Broker - Dealer Sales and Trading activity. Strong interpersonal and written/verbal… more
- Squarepoint Capital (New York, NY)
- …5-8+ years of Compliance experience within a Buyside firm or Broker - Dealer Experience handling all related matters to discretionary traders Strong ... The Compliance Department at Squarepoint has a wide range...reputation of the firm Promote a strong culture of compliance and ethical behavior Ensure compliance with… more
- BNP Paribas (Jersey City, NJ)
- …Project Management. KYC is seeking a VP-level advisor to provide compliance coverage primarily for Financial Institutions clients within Corporate & Institutional ... leaders. Demonstrates the ability to influence stakeholders at the team level. Compliance Culture and Conduct: Takes full responsibility for personal actions and… more
- Cetera Financial Group, Inc. (Dallas, TX)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more
- Advisor Group (Fort Lauderdale, FL)
- …integrity of client asset record system and vendor lists Interfaces with broker / dealer , brokerage, fund companies, custodians and insurance companies as ... insurance processing support Maintains client records, CRM database and compliance files Handles sensitive, confidential, proprietary information with discretion… more
- Vanguard Group (Malvern, PA)
- …experience with FINRA, SEC, and related regulations, and general knowledge of broker - dealer , retirement, banking and investment advisory businesses. Our "crew" ... and oversight; ensure appropriate policies, procedures and supervisory framework on broad broker - dealer related and market issues. Monitor, analyze, and responds… more
- Clear Street (New York, NY)
- …the Global tax information reporting and withholding obligations associated with our broker - dealer and clearing operations. The role will focus heavily on ... 61, 871(m), and 1446(f) rules among others Experience working within a broker - dealer , custodian, or financial institution Experience working within a Prime… more
- Lincoln Financial (Broomall, PA)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... lead and execute risk-based audits focusing on operational processes and regulatory compliance across the company. In this role, you will provide independent… more
- Morgan Stanley (Dallas, TX)
- …wide variety of legal issues arising in the Wealth Management business for broker / dealer field personnel, including call center personnel, Regional and Complex ... capacity issues, reviewing and advising on instances of potential employee misconduct, advising broker / dealer field and Home Office personnel on relevant law and… more
- Equitable (Charlotte, NC)
- …sales manager required. Thorough knowledge and existing relationships within intermediary broker dealer firms, fund clearing platforms, and model platforms. ... thoroughly understands the sales process, product offerings, technology capabilities and compliance procedures of the distributor and asset manager. Spearhead sales… more
