- Marex (New York, NY)
- …For more information visit www.marex.com Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance ... Annual Compliance Plan in line with below responsibilities: Provide Compliance Advisory services to broker -dealer business lines. Complete or assist… more
- Arena Investors I Quaestor Advisors (Jacksonville, FL)
- … policies and procedures; *Administration of firm (Investment Adviser and Broker -Dealer) annual compliance review (testing and monitoring); *Conflicts of ... at a SEC-registered investment adviser (primarily private credit exposure); *Experience with broker -dealer compliance (ideally Series 7 or Series 14 licensed);… more
- PIMCO (New York, NY)
- …and evolving regulatory requirements Maintain an understanding of investment company, broker -dealer, and investment advisory compliance regulatory focus areas, ... the SEC Conduct annual reviews of the Funds, Adviser and limited purpose broker -dealer compliance policies and procedures Participate in the Fund's risk… more
- Roku (Austin, TX)
- …regulations and customs requirements. Audit trade controls, processes, and tools for compliance and improvement. Broker Management: Oversee customs brokers and ... validate 100% of broker invoices per SOX compliance . License Management: Manage export licenses and documentation for regulated goods. Tariff & Duties Control:… more
- Marex (New York, NY)
- …implementing Annual Compliance Plan in line with below responsibilities: Provide Compliance Advisory services to US Broker Dealer business lines. Complete or ... US Broker Policies and Procedures and Written Supervisory Procedures. Provide Compliance Advisory services for US Broker Trade Surveillance process. Provide … 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 ... ideal candidate will have relevant experience at a similar organization with senior compliance responsibilities or is a current chief compliance officer. Key… 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) and the… more
- CNA (Chicago, IL)
- …Financial Lines group arising under policies issued to our life agent, broker -dealer, and investment advisor, banking and insurance customers. These claims can be ... to senior management. Maintains subject matter expertise and ensures compliance with state/local regulatory requirements by following company guidelines, and… more
- PGL (Irving, TX)
- …Coordinate regulatory documentation activities. Examine product information to ensure compliance with regulations. Update knowledge of legal or regulatory ... environments. Advise others on legal or regulatory compliance matters. Estimate costs of goods or services. Monitor inventories of products or materials. Work… more
- GenStone (Cincinnati, OH)
- Managing Real Estate Broker GenStone Realty - Leadership Opportunity with High Growth Potential We're looking for a highly motivated and experienced Managing Real ... Estate Broker to lead and grow a high-performing team at...this role, you'll recruit and mentor top-producing agents, ensure compliance with real estate laws, and oversee daily brokerage… more
- Marmon Holdings, Inc. (Westlake, OH)
- … relationships as a channel for growing new channel opportunities. Ensure contract compliance with broker network and clients. Identify and manage qualified ... driving and leading sales representatives and independent sales agents (Independent Contractors/ Broker ) resources to achieve sales targets for Clients that sell… more
- Windermere Real Estate (Palm Desert, CA)
- …extraordinary. We're on the lookout for a motivated and people-focused Real Estate Broker to join our supportive and collaborative team! In this role, you'll be ... documentation, including contracts, agreements, leases, and closing statements, in compliance with legal and regulatory standards Maintain and regularly update… more
- Workstream (San Francisco, CA)
- …high pressure in fast-paced environments with competing priorities Salary Range: In compliance with the California Pay Transparency Law, the salary range for this ... role is $100,000-$130,000 in San Francisco. This range is not inclusive of our discretionary bonus or equity package. When determining a candidate's compensation, we consider a number of factors including skillset, experience, job scope, and current market… more
- Nationwide Mutual Insurance Company (New York, NY)
- …the policy. Reviews Loss Control reports and recommendations and partners with the broker to ensure loss control compliance . Follows up on outstanding ... claims, loss history and taking appropriate action on accounts. Broker assignments are the most complex in terms of...are the most complex in terms of coverage and broker relationships. You'll need to exercise a high level… more
- Insight Global (Ellenwood, GA)
- …or university or equivalent experience - Minimum of 4-5 years of Customs Brokerage/ Compliance experience - Customs Broker License - Working knowledge of CFIT ... topics from results. - Track and report customs rejections, assisting in compliance self-audits. - Support timely review of monitoring reports. - Keep employees… more
- Diverse Lynx (Basking Ridge, NJ)
- …understands software, networking In Depth understanding on Data Mediation and Probes/Packet Broker for billing, legal, compliance , network in Network planning ... in G/5G and part of wireline networks data usage records for billing, legal, compliance , network use cases Possess strong attitude plus aptitude - ability to propose… more
- Societe Generale (New York, NY)
- …surveillance scenarios and minimum standards. Participate in regional and global compliance initiatives and investigations. Assist with the review and analysis of ... and public-sector clients with value-added integrated financial solutions. The SG Americas Compliance department acts as Second Line of Defense of the corporate… more
- Yamaha Motor Manufacturing (Newnan, GA)
- Overview Job code: 9910222 Job Family: Accountant Position Summary: The Compliance Analyst supports the Trade Compliance Manager by providing analytical and ... administrative support for customs and trade compliance matters, ensuring compliance with all relevant...an Associates degree Other Required Skills: Valid US Customs Broker license, or ability to obtain is preferred Minimum… more
- Aston Carter (Clemmons, NC)
- Job Title: Global Trade Compliance Manager Job Description We are seeking an experienced Global Trade Compliance Manager to implement and maintain documented ... procedures ensuring compliance with Customs regulations and global trade policy. This...government agencies for import and export control. Monitor customs broker activity for import and export transactions. Build partnerships… more
- AQR (Greenwich, CT)
- …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 ... reviewing and advising on a broad range of marketing materials to ensure compliance with regulatory requirements and internal standards. This role offers exposure to… more
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