- Larson Maddox (New York, NY)
- …and manage the firm's compliance framework across all business lines, including asset management , broker - dealer operations, and private equity. Ensure full ... A prestigious and well-established asset manager and broker - dealer , with a growing portfolio of private equity funds, is seeking a dynamic Chief Compliance… more
- Marex (New York, NY)
- …completing broker - dealer guidance, related to business change proposals, for management review. Manage broker - dealer Business Line management ... Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance...technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data,… more
- Capital One (Arlington, VA)
- …to ensure accurate reporting and adherence to regulatory guidance Review intercompany management fees Other broker - dealer accounting responsibilities as ... Manager, Broker Dealer Accounting Does the idea...experience At least 2 years of experience in people management Preferred Qualifications: Master's degree in Finance or Accounting… more
- Marex (New York, NY)
- …US Broker Dealer BCAC (Business Change Approval Committee ()guidance for management review Manage US Broker Dealer Business Line management ... Plan in line with below responsibilities: Provide Compliance Advisory services to US Broker Dealer business lines. Complete or assist in completing US … more
- CNA (Chicago, IL)
- …our Financial Lines group arising under policies issued to our life agent, broker - dealer , and investment advisor, banking and insurance customers. These claims ... to develop, own and execute a claim resolution strategy, that includes management of timely and adequate reserves, collaborating with coverage experts, negotiating… more
- USAA (Phoenix, AZ)
- …in annuity and/or life insurance distribution through full-service brokerage and bank broker dealer firms. Excellent relationship management skills and ... level of business acumen in the areas of annuity business operations, broker dealer sales processes and paperwork, sales suitability, industry practices… more
- Morgan Stanley (Dallas, TX)
- …legal contact on a wide variety of legal issues arising in the Wealth Management business for broker / dealer field personnel, including call center personnel, ... Regional and Complex Management , Divisional, Regional and Complex Risk Officers, and Home...and advising on instances of potential employee misconduct, advising broker / dealer field and Home Office personnel on… more
- Farther (New York, NY)
- …with financial data vendors (Bloomberg, Reuters, etc.) Previous experience at a wealth management firm, broker - dealer , or fintech company Understanding of ... advisors with cutting-edge technology - delivering a comprehensive, tailored wealth management experience. Farther's founders are leaders and innovators from the… more
- Selby Jennings (Chicago, IL)
- …environment (risk management or trading) Familiarity with liquidity + margin requirements, counterparty risk management , and broker - dealer regulations ... This is a strategic growth hire. Front office teams continue to hire traders and expand into new markets/products, and as they scale so must the risk team. The firm actively trades a variety of traditional and digital assets: single stock equity/index/ETF… more
- Altruist (Los Angeles, CA)
- …advisor fee structures, custodial billing practices, and compliance requirements in the RIA/ broker - dealer space. Knowledge of wealth management operations, ... in transforming our billing platform into a best-in-class solution for modern wealth management . You will own the roadmap and delivery of billing features that are… more
- The Amynta Group (Overland Park, KS)
- …with a particular focus on new relationships. Raise the profile of Amynta Dealer Solutions within the broker community increasing the strength of relationships ... Underwriter is a key part of the production underwriting capabilities of Amynta Dealer Solutions. The Production underwriter will own the results of their book of… more
- Altruist (San Francisco, CA)
- …SEC and other regulatory agencies Domain knowledge and solid understanding of the investment management landscape and broker dealer need Technical aptitude - ... and vendor decisions in close partnership with the engineering team, product management and executive stakeholders. Partner with engineering and design to build out… more
- Arena Investors I Quaestor Advisors (Jacksonville, FL)
- …with the Investment Advisers Act of 1940; *Support the CCO with FINRA broker - dealer requirements; *Monitoring of Client guidelines and restrictions; *Review of ... compliance policies and procedures; *Administration of firm (Investment Adviser and Broker - Dealer ) annual compliance review (testing and monitoring); *Conflicts… more
- Cetera Financial Group, Inc. (Dallas, TX)
- …aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and ... independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and… more
- Jefferies (New York, NY)
- …integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a US broker - dealer , was founded in the US in 1962 and our first ... international operating subsidiary, Jefferies International Limited, a UK broker - dealer , was established in the UK in 1986. Our strategy focuses on continuing to… more
- Vanguard Group (Malvern, PA)
- …experience with FINRA, SEC, and related regulations, and general knowledge of broker - dealer , retirement, banking and investment advisory businesses. Our "crew" ... and oversight; ensure appropriate policies, procedures and supervisory framework on broad broker - dealer related and market issues. Monitor, analyze, and responds… more
- Jefferies (New York, NY)
- …integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a US broker - dealer , was founded in the US in 1962 and our first ... to support the Fixed Income business Cross functional project management related to the Fixed Income business Work with...international operating subsidiary, Jefferies International Limited, a UK broker - dealer , was established in the UK in… more
- Jefferies (Jersey City, NJ)
- …integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a US broker - dealer , was founded in the US in 1962 and our first ... The candidate must be both an expert in financial management , versatile and technical with the ability to adapt...international operating subsidiary, Jefferies International Limited, a UK broker - dealer , was established in the UK in… more
- Jefferies (New York, NY)
- …integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a US broker - dealer , was founded in the US in 1962 and our first ... international operating subsidiary, Jefferies International Limited, a UK broker - dealer , was established in the UK in 1986. Our strategy focuses on continuing to… more
- Jefferies (New York, NY)
- …integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a US broker - dealer , was founded in the US in 1962 and our first ... international operating subsidiary, Jefferies International Limited, a UK broker - dealer , was established in the UK in 1986. Our strategy focuses on continuing to… more
