- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will ... Compliance Plan in line with below responsibilities: + Provide Compliance Advisory services to broker - dealer business lines. + Complete or assist in… more
- Wells Fargo (West Des Moines, IA)
- …risk. + Experience with assessing risk and controls related to Travel Rule and/or Broker Dealer compliance . **Job Expectations:** + Ability to travel up ... + This position is not eligible for Visa sponsorship + Specific compliance policies may apply regarding outside activities or personal investing; affected employees… more
- SMBC (New York, NY)
- …Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer and or swap dealer . + Strong knowledge in US ... + Must be well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer preferred. BA/BS… more
- NatWest Markets (Stamford, CT)
- …knowledge of FINRA, SEC, CFTC, DTCC and NFA regulation. + Knowledge of broker - dealer and swap dealer compliance laws, rules and regulations. + Strong ... Broker Dealer Advisory - VP Stamford,United... Broker Dealer Advisory - VP Stamford,United States Permanent Full...experience with broker - dealer and swap dealer rules and regulations and providing compliance … more
- Manulife (Boston, MA)
- …**Required Qualifications:** + The ideal candidate will have 5+ years of broker - dealer compliance experience or comparable financial services industry ... experience. + The candidate must have extensive knowledge and understanding of broker dealer securities regulation (investment adviser/investment company a plus)… 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 ... and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed income futures activities. + Strong knowledge… more
- Arena Investors LP (Jacksonville, FL)
- …at a SEC-registered investment adviser (primarily private credit exposure); . Experience with broker - dealer compliance (ideally Series 7 or Series 14 ... policies and procedures; . Administration of firm (Investment Adviser and Broker - Dealer ) annual compliance review (testing and monitoring); . Conflicts of… more
- First Horizon Bank (Memphis, TN)
- …+ Bachelors Degree in Accounting, Finance or Business + Minimum 5 yrs. experience in broker - dealer Compliance or equivalent in legal, compliance or audit ... surveillance, reporting, and guidance for all aspects of a broker - dealer and a bank dealer and offer general support to the compliance department… more
- TIAA (Frisco, TX)
- …to the firm. MCC works closely with other departments, including but not limited to broker - dealer compliance , RIA compliance , product compliance , and ... Enterprise Compliance Sr Associate Serve as a member of...obtained within 6 months of hire. + Wealth management, broker - dealer , or registered investment adviser experience. +… more
- Citizens (Charlotte, NC)
- …especially Excel and SharePoint Qualifications + Minimum 7 years of institutional broker - dealer compliance experience, with significant licensing and ... owned subsidiary of Citizens Financial Group, is a FINRA-registered institutional broker - dealer with approximately 650 associated professionals. We deliver… more
- Cleveland Research Company (Cleveland, OH)
- … Officer in identifying and mitigating potential conflicts and risks associated with a Broker Dealer firm. Our Compliance Department develops and maintains ... Compliance Associate Cleveland Research Company is an independent...Cleveland Research Company, LLC, an equity research firm and Broker Dealer registered in Cleveland, Ohio, is… more
- Citigroup (New York, NY)
- **Position Overview:** Citi's Global Broker - Dealer Legal Entity Treasury team is seeking a highly qualified AVP candidate to support Broker - Dealer ... and oversight requirements within the Treasury organization. **Team Description:** The Global Broker - Dealer Legal Entity Treasury team within the Global Treasury… more
- Raymond James Financial, Inc. (NY)
- …**Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker / dealer compliance and/or branch exams + Rules and ... all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and...and adverse trends are identified and escalated + Provide compliance support to business partners, as needed + Maintain… more
- Charles Schwab (Lone Tree, CO)
- …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
- KeyBank (Lea County, NM)
- …of experience in financial services, with direct exposure to brokerage and swap dealer operations. + Strong understanding of introducing broker - dealer models ... supports both the back-office operations of a registered swap dealer and the middle office operations of an introducing... and the middle office operations of an introducing broker . The consultant will drive process improvements, ensure regulatory… more
- Principal Financial Group (Des Moines, IA)
- …to join our legal team to lead regulatory examinations, and to assist our retail broker - dealer with its legal needs. This attorney will partner with the business ... units, our compliance team, and other attorneys to help respond to...will also provide day-to-day support to Principal's dually-registered retail broker - dealer and investment adviser, Principal Securities. In… more
- M&T Bank (Baltimore, MD)
- …of defense risk management responsibilities of the Investment Bank and Institutional Broker - Dealer in accordance with the Enterprise Risk Framework. Oversee the ... team on risk and control topics impacting the Institutional Broker - Dealer , Corporate Securities Underwriting, and Syndications/ Participations. **Primary… more
- Huntington National Bank (Columbus, OH)
- …Business Segment Controller, this position will play a vital role in the broker - dealer 's day-to-day accounting operations. The role will be responsible for ... activity. + Review applicable regulatory rules and interpretations to maintain firm compliance and participate in the research and implementation of new and/or… more
- Equitable (Charlotte, NC)
- …**Qualifications** **Preferred Qualifications:** + 2 year industry experience of service center, broker dealer and compliance with a focus on ... anti-money laundering and fraud + Knowledge of life, annuity, brokerage and investment advisory products and operations + Knowledge of Equitable's products, processes and controls of the organization activities + Demonstrated ability to influence others in a… more
- NatWest Markets (Stamford, CT)
- …**Swap Dealer Testing Associate** **2LOD** This roleis responsible forassessing compliance risks and controls within the Swap Dealer testing program. ... swap- dealer business. + Good knowledge of swap dealer regulations, and securities products and compliance ...of CFTC, DTCC, NFA regulation. + Some knowledge of broker - dealer and securities processes and business. +… more
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