- Marex (New York, NY)
- …dealer Trade Surveillance process. Provide Compliance Advisory services for broker - dealer Regulatory Reporting process. Carry out assigned ... www.marex.com Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer ...dealer business lines. Complete or assist in completing broker - dealer related regulatory inquiries and/or… more
- Capital One (Arlington, VA)
- …motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority (FINRA) and the ... to regulatory guidance Review intercompany management fees Other broker - dealer accounting responsibilities as assigned Support external and internal… 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 ... firm's compliance framework across all business lines, including asset management, broker - dealer operations, and private equity. Ensure full adherence to SEC… 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 ... summaries to senior management. Maintains subject matter expertise and ensures compliance with state/local regulatory requirements by following company… more
- PIMCO (New York, NY)
- … regulatory requirements Maintain an understanding of investment company, broker - dealer , and investment advisory compliance regulatory focus areas, ... by 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
- 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 Broker ... regulatory inquiries. Complete or assist in completing US Broker Dealer BCAC (Business Change Approval Committee...process. Provide Compliance Advisory services for US Broker Regulatory Reporting process. Ensuring compliance… more
- Arena Investors I Quaestor Advisors (Jacksonville, FL)
- …at a SEC-registered investment adviser (primarily private credit exposure); *Experience with broker - dealer compliance (ideally Series 7 or Series 14 ... middle and back-office personnel on a wide variety of regulatory compliance issues primarily in compliance...policies and procedures; *Administration of firm (Investment Adviser and Broker - Dealer ) annual compliance review (testing… more
- Groupe BPCE (New York, NY)
- …Experience with Collateral and Cash Management systems (eg, Calypso or equivalent), Broker Dealer systems (eg, Phase 3/Shadow Suite), and trading systems ... you'll play a pivotal role in driving innovation for post-trade and regulatory applications. We support crucial areas such as Equity Derivatives, Securities Lending,… 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
- AQR (Greenwich, CT)
- …complex presentations, including hypothetical and back-tested performance, reviewing for regulatory compliance . Provide proactive, clear, and solution-oriented ... on a broad range of marketing materials to ensure compliance with regulatory requirements and internal standards....reviewing marketing material, preferably with an investment adviser or broker - dealer Series 7 and 24 licenses required… more
- Squarepoint Capital (New York, NY)
- …5-8+ years of Compliance experience within a Buyside firm or Broker - Dealer Experience handling all related matters to discretionary traders Strong ... capital markets, volatility and beyond Review and analyze investment strategies ensure compliance with regulatory requirements and internal policies Vet and… 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
- 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" ... issues, including complaints and fraud-related events; lead and partner to support regulatory exams, inquiries and actions. Collaborate with Compliance , Risk,… more
- Clear Street (New York, NY)
- …- dealer and clearing operations. The role will focus heavily on regulatory compliance , data integrity, risk mitigation, and partnership with internal ... US equities, fixed income, derivatives, foreign securities) Supporting internal audits, regulatory reviews, and inquiries related to tax compliance Contributing… more
- Morgan Stanley (Dallas, TX)
- …wide variety of legal issues arising in the Wealth Management business for broker / dealer field personnel, including call center personnel, Regional and Complex ... and advising on instances of potential employee misconduct, advising broker / dealer field and Home Office personnel on...field and Home Office personnel on relevant law and regulatory policy, such as FINRA and SEC rules, as… more
- Lincoln Financial (Broomall, PA)
- …experience in corporate or tech-focused legal strategies. Familiarity with evolving AI regulatory frameworks and awareness of legal, compliance and/or ethical ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- Lincoln Financial (Broomall, PA)
- …you will lead and execute risk-based audits focusing on operational processes and regulatory compliance across the company. In this role, you will provide ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- Deutsche Bank (New York, NY)
- … requirements and internal controls. Collaborate and build relationships with broker - dealer counterparties, issuers and other key industry stakeholders. ... Negotiate and execute trades with broker -dealers through low-touch and high-touch channels. Contribute to the enhancement of existing trading processes and utilize… more
- Navy Federal Credit Union (Centreville, VA)
- …outcomes Ability to obtain appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm Experience in business ... an internal pipeline for smaller dollar volume, and less complex, accounts in compliance with Navy Federal and NFIS policies and procedures Establish, maintain, and… more
- Farther (New York, NY)
- …Reuters, etc.) Previous experience at a wealth management firm, broker - dealer , or fintech company Understanding of compliance requirements in investment ... workflows, automated cash management and related features Work with engineering, compliance , and client experience teams to ensure safe and scalable delivery… more
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