- Huntington National Bank (Columbus, OH)
- …Audit, and Legal. Basic Qualifications: + Bachelor's degree + Experience as broker dealer Chief Compliance Officer or lead compliance director for ... Financial Advisors (HFA), Huntington Securities Incorporated (HSI), and Capstone Partners broker - dealer compliance program functions including implementation… 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
- HUB International (New York, NY)
- …advisor and limited purpose FINRA Broker - Dealer : The Deputy Chief Compliance and Risk Officer , will be a highly visible, senior leadership position, ... one of the largest global insurance and employee benefits broker , providing a boundaryless array of business insurance, employee...reporting directly into the Global/Executive Chief Compliance and Risk Officer , working closely with… 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
- City National Bank (Los Angeles, CA)
- … Officer will report to a supervisor with the Wealth Management Broker / Dealer Compliance division. *The Responsibilities* * Review marketing material for ... be employed by City National Bank. *The Opportunity* The Compliance Officer will work closely with the...work experience with a financial institution such as a broker / dealer . * Minimum 3 years compliance… more
- Insight Global (New York, NY)
- … Officer will report to a supervisor with the Wealth Management Broker / Dealer Compliance division. * Review marketing material for consistency with ... Job Description The Compliance Officer will work closely with...work experience with a financial institution such as a broker / dealer . Minimum 3 years compliance … more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS US Compliance ... businesses, working with regional teams across the globe. This Compliance Officer will also support other aspects...or more years of experience with a registered US broker dealer , swap dealer , Global… more
- Wells Fargo (New York, NY)
- …and Investment Banking (CIB) Compliance team and requires deep expertise in broker - dealer regulations and lending compliance . **In this role, you will:** ... role:** We are seeking a highly experienced Senior Lead Compliance Officer to support the Structured Products...in FINRA, SEC, FRB, and OCC regulations related to broker - dealer and ABS activities. + Familiarity with… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance assists in ... + 2 years of experience with a registered US broker dealer or regulator. + Problem solving...and ability to work independently. **General Job Posting:** The Compliance Officer supports consumer regulatory compliance… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR-REGISTERED INVESTMENT ADVISOR* *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance oversight ... Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For Wealth Management Compliance… more
- Dunham & Associates Investment Counsel, Inc. (San Diego, CA)
- …Experience Required: + Ten plus years of experience in similar role at broker dealer , investment advisory firm, trust company or similar financial institution; ... CHIEF FINANCIAL OFFICER Dunham & Associates Holdings, Inc. and its...a subsidiary of Dunham, is an independently owned, registered Broker / Dealer and Investment Adviser helping Financial Advisors… 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
- 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
- Raymond James Financial, Inc. (New York, NY)
- …and an understanding of the market standard risk management practices . Broker - dealer supervisory frameworks, retail investment platforms, and UHNW product risks ... of fifteen (15) years of financial services experience required . Experience in broker - dealer or wealth management firms preferred, especially with exposure to… more
- Charles Schwab (Westlake, TX)
- …Financial crimes program leadership experience at a federally regulated bank or large broker dealer strongly preferred + Extensive knowledge of the evolving ... **Your opportunity** **Director, Digital Assets Deputy BSA/AML Officer ** Our Opportunity: Financial Crimes Risk Management (FCRM)...digital asset regulations and compliance requirements, both nationally and internationally + Strong grasp… more
- Scotiabank (Dallas, TX)
- …Knowledge of purchase order processing and approval protocols necessary + Banking or broker dealer experience is a positive **Interested?** If your experience is ... Senior Facilities Officer **Requisition ID:** 235382 **Salary Range:** 76,500.00 -...strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures. +… more
- Huntington National Bank (Columbus, OH)
- …role in the delivery of risk strategy and execution for Huntington's Broker / Dealer , Registered Investment Advisor and Trust Investment Management businesses. ... Description The Senior Risk Officer - Investment Management colleague will operate within...with senior leaders to ensure effective risk governance, regulatory compliance , and operational resilience. Duties & Responsibilities: + Serve… more
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