- Larson Maddox (New York, NY)
- …of compliance experience. Background in investment adviser or broker - dealer environments. Strong organizational, analytical, and communication skills. ... Compliance Officer - Expert Networks Oversight... Compliance Officer - Expert Networks Oversight A leading global...leading global investment management firm is seeking an experienced Compliance Officer to join its team in… 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
- Principal Financial Group (Des Moines, IA)
- …of the firm's registered home office supervision program for both broker - dealer and RIA channels. + **Drive Compliance Excellence** : Oversee surveillance ... experience in the financial services industry, with extensive senior-level expertise in broker - dealer and investment advisor compliance , risk management,… 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
- City National Bank (Los Angeles, CA)
- …Qualifications** * 5 or more years of Customer Service or Operational experience at a Broker Dealer * 5 or more years of management and/or supervisory experience ... *LEAD CLIENT SERVICES OFFICER * WHAT IS THE OPPORTUNITY? Oversee the City...approves CNS written and electronic correspondence for accuracy and compliance . Overseas the risk associated with the operational and… more
- PNC (Pittsburgh, PA)
- …Regional Supervision Risk Officer (RSO) reports into PNC Investments, which is a broker - dealer subsidiary of PNC Bank. This role works with Compliance , ... documentation is completed. Includes review of reporting by risk area on compliance validation, control framework and risk profiles, escalating issues to management… 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
