- SMBC (Jersey City, NJ)
- …matter expert in the Regulatory Reporting Automation for BHC, Branch, Liquidity or Broker Dealer regulatory reports. This position will provide leadership to the ... but not limited to reports such as the FRB reports, knowledge of broker - dealer reporting, liquidity reporting, etc.) + Experience in capital markets asset… more
- SMBC (Jersey City, NJ)
- …LATAM representative offices, Grand Cayman branch, Brazilian banking subsidiary, US broker - dealer and registered swaps dealers, and certain non-banking leasing ... Sumitomo Mitsui Banking Corporation (SMBC) is seeking a dynamic Compliance Training Associate to join our Compliance Department Training Team. In this role, you… more
- SMBC (Jersey City, NJ)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional ... Securities Operations Group within SMBC Nikko Securities America, Inc. is seeking an Associate level candidate to join the Supervision and Controls Team. The role… more
- Robert Half Legal (San Diego, CA)
- Description Financial Services Company Seeks Senior Attorney Focused on Broker - Dealer Compliance & FINRA Arbitrations About Firm & Position: A ... well-established financial services organization is seeking a Associate General Counsel - Broker - Dealer Regulatory Compliance to join its growing corporate… more
- SMBC (New York, NY)
- …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 ... Compliance, IT Risk and Training committees. The Compliance Advisory Associate role assists in managing coverage areas or processes...years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in… more
- JPMorgan Chase (Jersey City, NJ)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker - dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered...Control Manager, you'll have the opportunity to collaborate with senior stakeholders and drive compliance initiatives that impact our… more
- SMBC (New York, NY)
- …Assist in preparing high quality materials for Risk Committees (Tier 1 and 2), Swap Dealer and Broker Dealer oversight forums - Help review policies, ... Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer...Associate will work closely with the team and senior stakeholders across Risk, Compliance, Legal, Operations, and Front… more
- Kestra Financial (San Antonio, TX)
- Mission Financial Planners, LLC is seeking a Senior Client Service Associate who will play a pivotal role in driving the firm's growth and operational ... highly organized, detail-oriented, and committed to delivering exceptional client service. The Senior Client Service Associate reports directly to the Financial… more
- JPMorgan Chase (Jersey City, NJ)
- …role in enhancing our organization's governance and operational excellence! As a Senior Internal Audit Associate on the Commercial and Investment Banking ... in financial services industry + Exposure to capital planning (CCAR), broker - dealer and bank regulatory reporting, and Treasury/liquidity reporting processes… more
- Ventura County (Ventura, CA)
- …Analysis - Fundamental knowledge of credit risk assessment, issuer evaluations, and broker / dealer compliance requirements. + Technology and Investment Systems - ... investment strategies accordingly. + Negotiation & Relationship Management - Managing broker - dealer relationships to ensure best execution and favorable pricing… more
- Ankura (Chicago, IL)
- …significant portion of all licensed US money transmitters. We are seeking a Senior Associate , Licensing Acquisition, to join the team. Ideally this role ... commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered… more
- Ankura (New York, NY)
- …requirements and will keep clients abreast of regulatory changes. We are seeking a Senior Associate , License Maintenance, to join the team. Ideally this role ... commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered… more
- Wells Fargo (Mclean, VA)
- **About this role:** Wells Fargo is seeking a Senior Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more ... applicable + Utilize prior experience in the Registered Client Associate role to anticipate and proactively seek resolutions to...are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and… more
- Wells Fargo (Brentwood, TN)
- **About this role:** Wells Fargo is seeking a Senior Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the ... disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing regulatory… more
- JPMorgan Chase (Columbus, OH)
- …status quo and striving to be best-in-class. Job Summary As a Compliance Risk Management Senior Officer - Associate in Risk Management and Compliance, you are at ... standards. Job Responsibilities + Perform on-site and remote compliance examinations of broker - dealer and investment advisory businesses to ensure adherence to… more
- Kestra Financial (Palo Alto, CA)
- …over the finish line and have a desire to learn, advance, and excel? The Senior Sales Associate reports to the Financial Advisor and is critical in meeting ... in the financial services industry allowing for a good understanding of broker / dealer operations and financial services industry, including but not limited to:… more
- Robert Half Office Team (Columbus, OH)
- …looking for an experienced Operations Associate to support the institutional broker - dealer operations team at a large financial institution in Columbus, ... Ohio. In this long-term contract role, you will oversee client onboarding, asset movement, account maintenance, and ensure compliance with organizational policies. This position offers the opportunity to collaborate on process improvements and contribute to… more
- T. Rowe Price (Baltimore, MD)
- …unit and will report to the Head of Alternative Investment Specialists for Broker / Dealer + This role is directly responsible for distribution of alternative ... CAIA, CIMA) + Previous experience and proven success with fundraising through Broker / Dealer relationships FINRA Requirements FINRA licenses are required and will… more
- TD Bank (New York, NY)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the...or more years of experience with a registered US broker dealer or regulator. + JD desirable… more
- T. Rowe Price (Owings Mills, MD)
- …an expert level of knowledge of the FINRA, SEC, MSRB and state broker dealer regulatory requirements and landscape, strong analytical skills with attention ... to you . About this Position Reporting to the Broker / Dealer Chief Compliance Officer, the role is...making and negotiation skills + Demonstrated ability to influence senior leadership and peers + Demonstrated ability to prioritize… more
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