- Monroe Capital LLC (Chicago, IL)
- …managing compliance throughout the organization Implement and maintain a Broker / Dealer compliance program consistent with FINRA requirements Requirements ... the Firm's strategy, programs, policies, and practices with regards to regulatory compliance and risk mitigation for its registered investment advisor entities.… more
- Interactive Brokers (Greenwich, CT)
- …of US securities and/or commodities regulations, and has appropriate experience at a broker / dealer , regulatory agency, exchange, accounting firm or ... and frequency schedules to comply with relevant legal and regulatory requirements and industry best practices. Execute the firm's...focus on security or commodity regulations, a broker - dealer or an FCM. Experience in a compliance… 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
- Wintrust (Chicago, IL)
- …preferred, such as Certified Fiduciary Investment Risk Specialist (CFIRS), Certified Bank Compliance Officer (CBCO), Certified Regulatory Compliance Manager ... for general compliance guidance regarding business line policies, procedures, and regulatory issues. Assist with execution of compliance reviews to evaluate… more
- LPL Financial Holdings, Inc. (Fort Mill, SC)
- …cross-functional teams to mitigate fraud risks, enhance program efficiency, and ensure compliance with industry standards and regulatory requirements. You will ... meetings and communicate progress to senior leadership and external bodies. Ensure compliance with regulatory requirements and industry standards through policy… more
- SHELL FEDERAL CREDIT UNION (Pasadena, TX)
- …supportive partnership with Shell Federal Credit Union and our credit union's broker / dealer . Essential Job Duties and Responsibilities Consistently meet all Game ... sessions as instructed or scheduled. Perform job duties and responsibilities in compliance to Shell FCU procedures, philosophy and standards of performance. Maintain… more
- Santander Bank (Dallas, TX)
- … regulatory aspects governing the ETD's and Clearing activities in a US Broker Dealer . Proven track record of managing providers of outsourced services ... the team. Liaise with internal / external auditors, and regulators to ensure compliance with regulatory requirements Quality assurance on processes and new… more
- Digital Realty (Dallas, TX)
- …for providing comprehensive assistance with fund formation, onboarding, fund filings, regulatory compliance , as well as corporate governance matters, management ... and reviewing marketing materials, investor presentations, RFPs, and DDQs to ensure regulatory compliance and alignment with standards. Monitoring and ensuring … more
- Cetera Financial Group, Inc. (Omaha, NE)
- …sales environment Excellent verbal and written communications skills Understanding of compliance and regulatory standards for life and annuity products ... independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and… more
- JPMorgan Chase & Co. (Walnut Creek, CA)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... backing the operational processes of the business unit, and complying with regulatory requirements. You will be required to prioritize daily tasks, track progress,… more
- Voya Financial, Inc. (Hartford, CT)
- …advisory space by staying abreast of all advisory industry product and regulatory changes. Work with compliance , product management, risk management, ... including product management, marketing, qualified plan business partners, independent broker - dealer reps, investment advisor representatives, vendors and the… more
- SimpleCiti Companies (Garden City, NY)
- …and coordinate PPMs, LPAs, side letters, and subscription documents *Oversee SEC compliance and regulatory filings related to SimpleADVISORY (eg, Form ADV, ... filings for Delaware entities, Series LLCs, and co-investment vehicles *Support future broker - dealer and fund expansion efforts Real Estate & Lending… more
- Robert Half Legal (San Diego, CA)
- …A well-established financial services organization is seeking a Associate General Counsel - Broker - Dealer Regulatory Compliance to join its growing ... Description Financial Services Company Seeks Senior Attorney Focused on Broker - Dealer Compliance & FINRA Arbitrations...- dealer and investment advisory platforms, focusing on regulatory compliance and risk mitigation. + Respond… more
- JPMorgan Chase (New York, NY)
- …with broker - dealer cash equities legal, regulatory and compliance issues, broker - dealer regulatory requirements, and supervisory and ... representatives on issues involving equity research, sales and trading, broker - dealer regulatory requirements, SEC and...business activities to identify and assist in resolution of regulatory , compliance and control issues + Assist… more
- Marex (New York, NY)
- …dealer Trade Surveillance process. + Provide Compliance Advisory services for broker - dealer Regulatory Reporting process. + Carry out assigned ... (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer ... business lines. + Complete or assist in completing broker - dealer related regulatory inquiries and/or… more
- SMBC (New York, NY)
- …Job Knowledge and Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in ... and is responsible for overseeing the management of the broker dealer 's compliance risk and...Nikko Securities Inc. **Role Objectives** + Assists in providing regulatory and compliance advice, identifying training needs,… more
- Capital One (Mclean, VA)
- …motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority (FINRA) and the ... Manager, Broker Dealer Accounting Does the idea...Manager, Broker Dealer Accounting Does the idea of working with... filings (FOCUS reports, SIPC reports, etc.) + Perform regulatory net capital computation and ensure compliance … more
- Charles Schwab (Westlake, TX)
- …5-7+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience and/or Big 4 Accounting ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit… more
- BMO Financial Group (New York, NY)
- …New York office. Our ideal candidate has a SEC/FINRA examiner background with broker dealer experience including SEC 15c3 experience, possessing a strong ... understanding of broker dealer operations and SEC/FINRA regulations. If...Applies specialized knowledge of Accounting & Financial management risk, regulatory compliance and internal controls related to… more
- Charles Schwab (Austin, TX)
- …5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking a Senior Auditor… more
