- Marex (New York, NY)
- …information visit www.marex.com Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance ... 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
- Larson Maddox (New York, NY)
- …, with a growing portfolio of private equity funds, is seeking a dynamic Chief Compliance Officer (CCO) to lead and enhance its compliance program. This ... organization with senior compliance responsibilities or is a current chief compliance officer . Key Responsibilities: Oversee and manage the firm's … 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 ... more information visit www.marex.com Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will...related regulatory inquiries. Complete or assist in completing US Broker Dealer BCAC (Business Change Approval Committee… 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 ... to our clients. Overview PIMCO is seeking a Senior Compliance Officer to join its US Registered...evolving regulatory requirements Maintain an understanding of investment company, broker - dealer , and investment advisory compliance … 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 ... expand the team through the addition of a senior Compliance Officer . In this role, this individual...policies and procedures; *Administration of firm (Investment Adviser and Broker - Dealer ) annual compliance review (testing… more
- Marex (New York, NY)
- …www.marex.com (http://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 business lines. + Complete or assist in… more
- 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 ... Compliance Officer as either a member or observer of various...Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer… 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
- 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 ... information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will...Broker Dealer related regulatory inquiries. + Complete… more
- Vanguard (Malvern, PA)
- … program for Vanguard's broker - dealer business. Working for the Chief Compliance Officer , this compliance leader, directly and through a team, will ... its growing and evolving service offerings, Vanguard seeks a highly skilled broker - dealer compliance professional to lead strategic compliance activities… 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 ... expand the team through the addition of a senior Compliance Officer . In this role, this individual...and procedures; . Administration of firm (Investment Adviser and Broker - Dealer ) annual compliance review (testing… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Compliance Officer in Corporate and Investment Banking (CIB) Compliance to lead various topics across CIB ... Compliance . The Lead Compliance Officer will be responsible for managing...Dealers, and associated regulators (eg, investment banking, financial markets, Broker - Dealer , Swap Dealer , Futures Commission… more
- M&T Bank (Boston, MA)
- …degree, a minimum of 5 years of relevant work experience, such as in compliance , trading or broker - dealer operations + Strong analytical and problem-solving ... **Overview:** M&T Securities, Inc. is the institutional broker - dealer affiliate of M&T Bank. As...affiliate of M&T Bank. As a member of our Compliance team, you will serve an important role in… more
- Equitable (Charlotte, NC)
- Chief Compliance Officer ( 250000CZ ) **Primary... compliance experience, preferably with a wholesale distributing broker dealer and/or in a senior ... help unlock your potential? Equitable is currently looking to hire a Chief Compliance Officer within Equitable Distributors Compliance , which is a part of… more
- Scotiabank (New York, NY)
- Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary Range:** 180,000.00 - 301,500.00 _Please note that the Salary Range shown is a guideline ... . **What You'll Do** + Acting as a senior compliance officer and Compliance team... experience, including experience providing advisory support to a broker - dealer equities sales and trading business. +… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 5 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required + Knowledge ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… more
- Truist (Charlotte, NC)
- …with all levels of management Preferred Qualifications: 1. Proven Broker / Dealer product knowledge/expertise 2. Eight years of compliance experience, with ... and responding to regulatory requests for BD / RIA. Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise… more
- City National Bank (Los Angeles, CA)
- …Qualifications** * Two to five years of Client Service or Operational experience at a Broker Dealer or in an investment management environment. * FINRA Series 7 ... *INVESTMENT RELATIONSHIP OFFICER * WHAT IS THE OPPORTUNITY? Assist Financial Advisors...years of Client Service or Operational experience at a Broker Dealer . * Knowledge of SEC and… more
- Citigroup (Jersey City, NJ)
- …rules and regulations + Demonstrated knowledge in area of focus including, Broker Dealer Information Barriers, Corporate and Investment Banking, Capital Markets, ... Serves as a compliance risk officer for the Independent Compliance Risk Management (ICRM)'s Control Room team. The ICRM Global Surveillance platform… more
- Citizens (Johnston, RI)
- …responsibilities include: + Direct supervision of Registered Reps (FAs) for the broker dealer ; provide supervision, guidance, advice and training. + Ensure ... Description The CSI Regional Control Officer (RCO) uses best practices and knowledge of...Registered Reps understanding and compliance with all firm and industry requirements by proactively… more
