- Capital One (Mclean, VA)
- … Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer . This role will support three institutional ... 2 (19050), United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor -...Senior Manager will work independently from the CBD Chief Compliance Officer to manage a team of… more
- Citizens (Westwood, MA)
- … environment. + Knowledge of compliance related matters within the Retail Broker Dealer and Registered Investment Advisor and Insurance Agency. + Able to ... Compliance function, will be responsible for: + Reviewing and approval of all broker dealer marketing and advertising materials submitted for use by the… more
- Truist (Richmond, VA)
- …levels of management **Preferred Qualifications:** + Series 7 & 24 registered + Demonstrated Broker Dealer compliance experience + Proven compliance ... and directing compliance risk oversight of assigned business units ( Broker Dealer ) and/or functions. Leads and executes compliance risk management… more
- Hold Brothers (New York, NY)
- …or a related field. + 3+ years' proven experience in a compliance officer role and broker / dealer -related and escalations. + Series 7 or equivalent ... regulation that impact(s) the current compliance environment. + Execute on our broker - dealer compliance functions. + Work with the broker - dealer … more
- SMBC (New York, NY)
- …as a regulatory advisory function 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...+ Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US… more
- Guardian Life (New York, NY)
- …for the overall compliance framework for PAS as a dually registered broker - dealer and investment adviser. The incumbent will lead the implementation and ... The Chief Compliance Officer of Park Avenue Securities...requirements. Candidates must have a broad knowledge of US broker - dealer and investment advisory compliance ,… more
- City of New York (New York, NY)
- …managed primarily by external investment managers; only short-term cash is internally managed. The Compliance Officer will work with the Chief Compliance ... Reporting directly to the CCO and working with the compliance staff, the Compliance Officer 's...for a large and/or complex SEC registered investment advisor, broker / dealer , consulting firm, or in a related… more
- Scotiabank (New York, NY)
- Manager, CIB & Research Compliance Officer **Requisition ID:** 193847 **Salary Range:** 85,700.00 - 159,100.00 _Please note that the Salary Range shown is a ... and Collateralized Loan Obligations (CLO). The CIB and Research Compliance Officer assists in the provision of...A minimum of 3-4 years with a bank or broker - dealer + Foundational understanding of securities laws… more
- Bloomberg (New York, NY)
- SEF Compliance Surveillance Lead and Advisory Compliance Officer - Legal & Compliance **New York, NY** Posted Apr 25, 2024 - Requisition No. 124842 The ... Swap Execution Facility), MIFID II benchmark activities, a US Broker - Dealer , and other regulated offerings globally. We...We are looking for a Swap Execution Facility (SEF) Compliance Officer to join our SEF … more
- Citizens (Johnston, RI)
- …to Compliance and Business management. Qualifications: + 3+ years of broker dealer compliance /investment advisory experience + Experience reading and ... Branch Inspections Team is a part of the Citizens Wealth Management Compliance department and is responsible for conducting on-site examinations of Citizens branch… more
- Santander US (New York, NY)
- …experience within a US regulated financial institution, specific work experience with broker - dealer federal and state regulations related to insider trading ... Vice President - Americas Control Room Officer , Corporate & Investment Banking (CIB) New York,...of the Control Room to ensure that an effective compliance program is developed and maintained to address … more
- PNC (Ridgewood, NJ)
- …Regional Supervision Risk Officer (RSO) reports into PNC Investments, which is a broker - dealer subsidiary of PNC Bank. This role works with Compliance , ... 7, 66 (or equivalent 63/65), 24 (or equivalent 9/10). As a Regional Supervisory Officer (RSO), within PNC Investments, you will be based in Ridgewood, NJ or remote.… more
- First Horizon Bank (Memphis, TN)
- …experience as a technology leader in the financial industry, preferably within a broker - dealer setting + Familiarity with and ability to implement emerging ... Bank, is seeking a dynamic and visionary Chief Information Officer (CIO) to advance the firm's technology platform through...approach that ensures alignment with business objectives and rigorous compliance standards. The CIO will report to the FHN… more
- MassMutual (Windsor, CT)
- …to effectively and continuously reprioritize an evolving workload + Experience with broker / dealer or registered investment advisor (RIA) firms + Designation of ... **The Opportunity** As a **Trust Officer ** for the MassMutual Trust Company, you will...coordinating with internal business partners (Investments, Fiduciary, Tax, Operations, Compliance ) and external vendors to ensure high quality, comprehensive… more
- Citigroup (New York, NY)
- …risk and governance programs that meet regulatory expectations, for example US Broker - Dealer Supervision Rules (FINRA 3110, 3120, etc,) and, or Prudential ... management across the Global Equities business, central Markets teams, Independent Compliance Risk Management, Internal Audit, Bank Regulatory Legal and participate… more
- Nuveen Investments (Charlotte, NC)
- This position reports to the Vice President, Compliance Officer for Nuveen Americas Distribution Compliance , who is responsible for contributing to the ... of the Nuveen Securities, LLC and Nuveen Canada Company, Compliance Programs. Nuveen Securities, LLC, is a registered US... Programs. Nuveen Securities, LLC, is a registered US broker - dealer , which serves as the underwriter and… more
- Bank of America (New York, NY)
- …* 5 years' experience covering markets compliance for a major US institutional broker - dealer or bank. working knowledge of the Volcker Rule a plus; * Strong ... Units and Control Functions (FLU/CF) leaders globally, coordinating with the FLU/CF Compliance and Operational Risk Officer teams, executing the CORM Program… more
- Charles Schwab (Westlake, TX)
- …operates through multiple regulated entities, and requires facility with multiple compliance subject matter disciplines, including broker / dealer , investment ... management for New Products and Services. The role reports to the Chief Compliance Officer (CCO) of Charles Schwab Corporation and in all capacities supports all… more
- Bank of America (Charlotte, NC)
- …will have the following qualifications: + 8+ years experience covering global markets compliance for US institutional broker - dealer or bank + Bachelor's ... Compliance & Operational Risk Manager- Quality Assurance Charlotte,...As a member of an FLU or CF C&OR officer team, the C&OR Manager is accountable for proactive… more
- T. Rowe Price (Baltimore, MD)
- …advisers, transfer agents and broker - dealer . This person will serve as Chief Compliance Officer for T. Rowe Price Mutual Funds and for the main US ... Position We are seeking a proven leader to oversee compliance for North America with the responsibility for setting... for North America with the responsibility for setting compliance standards and enhancing the compliance framework… more