- Societe Generale (Jersey City, NJ)
- …opinion on the control framework or the correct application of regulations on broker dealer operations. Strong audit skills and good knowledge of liquidity ... quality and accuracy of Socit Gnrale's ("SG") financial statement substantiation, regulatory reporting, liquidity and capital management. It is a transversal role… more
- Ultimate (Newport Beach, CA)
- Job Description KEY RESPONSIBILITIES *Support the development and implementation of the broker - dealer compliance program, working closely with members of the ... learn and master new software solutions. ROLE REQUIREMENTS *Minimum 2 years of regulatory compliance experience, or related experience, with a large and diverse… more
- BNP Paribas (Jersey City, NJ)
- … regulatory initiatives impacting KYC/CDD/CIP requirements; and Support KYC Compliance on internal and external examinations, projects, and other priorities, as ... Project Management. KYC is seeking a VP-level advisor to provide compliance coverage primarily for Financial Institutions clients within Corporate & Institutional… more
- Larson Maddox (New York, NY)
- …of compliance experience. Background in investment adviser or broker - dealer environments. Strong organizational, analytical, and communication skills. ... culture. This role will focus on overseeing expert network interactions and ensuring compliance with regulatory and internal standards. The ideal candidate will… more
- Pyramid Consulting, Inc. (Houston, TX)
- …, and business goals. Collaborate with cross-functional teams including advisory, broker - dealer , compliance , legal, operations, marketing and technology ... to the purpose of serving clients Experience with Salesforce, managed investing and broker dealer platforms Understanding of user centric design in business,… more
- Cetera Financial Group, Inc. (Dallas, TX)
- …Maintain a compliance calendar and ensure timely completion of all regulatory requirements. - Conduct regular audits to ensure data accuracy and integrity across ... independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and… more
- JPMorgan Chase & Co. (Jersey City, NJ)
- … regulatory requirements related to private banking, investment advisor, broker - dealer and fiduciary activities. Experience with internal audit methodology ... and technology risks in an integrated manner Knowledge of applicable laws and regulatory requirements related to broker / dealer and fiduciary activities… more
- Altruist (Dallas, TX)
- …decisions Help maintain and update response templates and platform FAQs Adhere to compliance and regulatory guidelines at all times What you bring Experience ... 2+ years of customer support or call-center experience 2+ years broker - dealer operations or clearing firm experience Working knowledge of investing and what… more
- Fulton Bank (Bethlehem, PA)
- …63 (or Series 66). (Required) Must be able to be affiliated with our Broker Dealer . (Required) Knowledge, Skills, and Abilities Knowledge of investment industry ... client transactions, such as trades, deposits, and withdrawals, while ensuring compliance with regulatory requirements. Solicits and receives orders for… more
- moomoo (Dallas, TX)
- …with exchanges and internal systems to identify and resolve discrepancies. Regulatory Compliance : Ensure all clearing operations adhere to regulations ... enhance your trading strategies. Note that this entity is not a licensed broker - dealer . For deeper insights into our entities and affiliates, explore… more
- JPMorgan Chase & Co. (Plano, TX)
- … organization with demonstrated insurance experience. Experience in insurance and broker - dealer matters, including knowledge of state insurance laws and ... contributor, driving product development and strategy, and providing valuable regulatory insight. As Insurance Attorney: Executive Director, Assistant General… more
- SimpleCiti Companies (Garden City, NY)
- …and coordinate PPMs, LPAs, side letters, and subscription documents *Oversee SEC compliance and regulatory filings related to SimpleADVISORY (eg, Form ADV, ... filings for Delaware entities, Series LLCs, and co-investment vehicles *Support future broker - dealer and fund expansion efforts Real Estate & Lending… 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 ... to new and existing clients - the legal and compliance aspects of designing and administering life insurance and...position with third parties such as federal and state regulatory bodies and agencies Prepare and maintain registration statements… more
- Desert Financial Credit Union (Phoenix, AZ)
- …as well as adhering to the written policies and procedures of the broker / dealer and the Financial Institution. Perform other job-related duties as assigned. ... & Financial Services program to build sales opportunities. Operations and Compliance : The Financial Advisor is responsible for various operational tasks for… more
- Robert Half Legal (San Diego, CA)
- …A well-established financial services organization is seeking a Associate General Counsel - Broker - Dealer Regulatory Compliance to join its growing ... Description Financial Services Company Seeks Senior Attorney Focused on Broker - Dealer Compliance & FINRA Arbitrations...- dealer and investment advisory platforms, focusing on regulatory compliance and risk mitigation. + Respond… more
- JPMorgan Chase (New York, NY)
- …with broker - dealer cash equities legal, regulatory and compliance issues, broker - dealer regulatory requirements, and supervisory and ... representatives on issues involving equity research, sales and trading, broker - dealer regulatory requirements, SEC and...business activities to identify and assist in resolution of regulatory , compliance and control issues + Assist… more
- Marex (New York, NY)
- …dealer Trade Surveillance process. + Provide Compliance Advisory services for broker - dealer Regulatory Reporting process. + Carry out assigned ... (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer ... business lines. + Complete or assist in completing broker - dealer related regulatory inquiries and/or… more
- SMBC (New York, NY)
- …Job Knowledge and Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in ... and is responsible for overseeing the management of the broker dealer 's compliance risk and...Nikko Securities Inc. **Role Objectives** + Assists in providing regulatory and compliance advice, identifying training needs,… more
- Capital One (Mclean, VA)
- …motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority (FINRA) and the ... Manager, Broker Dealer Accounting Does the idea...Manager, Broker Dealer Accounting Does the idea of working with... filings (FOCUS reports, SIPC reports, etc.) + Perform regulatory net capital computation and ensure compliance … more
- Charles Schwab (Westlake, TX)
- …5-7+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience and/or Big 4 Accounting ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit… more
