- NatWest Markets (Stamford, CT)
- …out in the United States. **Job description** **Swap Dealer Testing Associate ** **2LOD** This roleis responsible forassessing compliance risks and controls ... Swap Dealer Testing Associate Stamford,United States Permanent...swap- dealer business. + Good knowledge of swap dealer regulations, and securities products and compliance … more
- Oriental Bank (San Juan, PR)
- …years of experience as a Broker Assistant or Administrative Assistant in a Broker Dealer required. Experience in banking or in the insurance industry and/or ... The Associate , Oriental Insurance ( Broker Support) receive,...+ Review and analyze the documents for completeness and compliance with Oriental Insurance policies and procedures, federal and… more
- Capital One (Mclean, VA)
- Compliance Tester III, Principal Associate Capital One...in a compliance department for an institutional broker dealer or a swap dealer , ... and a great place to work. Job Description: The Compliance Tester III (Principal Associate ) performs a...in a compliance department for an institutional broker dealer or swap dealer … 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...Cleveland Research Company, LLC, an equity research firm and Broker Dealer registered in Cleveland, Ohio, is… 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...Enterprise Compliance Sr Associate Serve as a member of the TIAA...obtained within 6 months of hire. + Wealth management, broker - dealer , or registered investment adviser experience. +… more
- Citigroup (Tampa, FL)
- …day-to-day processes of intake/assignment/close out of investment complaints for a retail broker dealer /RIA and insurance agency business; coordination of the ... of intake/close out of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This position requires a working… more
- SMBC (Jersey City, NJ)
- …Group's wholesale and retail banking operations; US and LATAM representative offices; US broker dealer and registered swap deal; Cayman Branch; Canada Branch; ... benefits to its employees. **Role Description** SMBC Group is seeking an Associate to join the Compliance Controls Inventory team, which is a part of SMBC's … more
- Foresters Financial Services (Beaverton, OR)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Sales Support Associate Sales Beaverton, Oregon Apply Description What we...Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more
- Kestra Financial (Raleigh, NC)
- …record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, including but not limited… more
- Insight Global (Tampa, FL)
- Job Description A large broker - dealer and registered investment advisor firm local to the Tampa area is looking for 2 Compliance Associates to sit within the ... . Skills and Requirements -3 years of experience within compliance in a financial environment -Series 7 & 24 registrations… more
- Neuberger Berman (New York, NY)
- The broker - dealer channel is responsible for the distribution of mutual funds, separately managed accounts and alternative investments to wirehouses, regional ... Collaborate with the team's Research Director to organize and manage existing broker - dealer manager research relationships by providing efficient and thorough… more
- JPMorgan Chase (Plano, TX)
- 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...the opportunity to collaborate with senior stakeholders and drive compliance initiatives that impact our business worldwide. As a… more
- Kestra Financial (Kings Park, NY)
- …record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... Summary The Client Service Associate reports to the Financial Advisor and is...financial services industry allowing for a good understanding of broker / dealer operations and financial services products, and… more
- Kestra Financial (Beaver, PA)
- …record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... The Client Service Associate reports to the Financial Advisor and is...financial services industry allowing for a good understanding of broker / dealer operations and financial services products, including… more
- State of Montana (Helena, MT)
- …include the following: * Reviews salesperson, investment adviser representatives, broker - dealer firms, and issuer registrations to ensure compliance with the ... or closing matter with no action. * Reviews initial disclosures and amendments of broker - dealer firm's Forms BD and BDW to protect investors and ensure the… more
- Bank of America (New York, NY)
- …including but not limited to alternative or traditional asset management, broker - dealer , insurance, mortgage, title, payment processor or banking industries ... Treasury Sales Associate New York, New York;Chicago, Illinois **Job Description:**...provide treasury services for Asset Managers, Private Capital firms, Broker Dealers, and Exchanges. We need self-starters who can… more
- Siebert Williams Shank (New York, NY)
- …platform, and a sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA) ... national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and...all activities and duties are carried out in full compliance with regulatory requirements and internal policies and procedures… more
- Kestra Financial (San Antonio, TX)
- …years of experience in financial services, with a solid understanding of broker - dealer operations and investment products (equities, bonds, options, mutual ... Financial Planners, LLC is seeking a Senior Client Service Associate who will play a pivotal role in driving...handled accurately and in a timely manner, while maintaining compliance with industry regulations. + Build and strengthen client… more
- Kestra Financial (Plano, TX)
- …record keeping adheres to compliance standards. * Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... The Client Service Associate reports to our Partners and Wealth Managers...in a professional environment. * High School Diploma or Associate 's degree required * Previous experience in financial services… more
- SMBC (Jersey City, NJ)
- …representative offices; Grand Cayman Branch; Canada Branch; Brazilian banking subsidiary; US broker dealer and registered swap deal; and certain non-bank leasing ... **Role Description** SMBC is looking to hire a Financial Crime Compliance ("FCC") Program Governance Associate reporting to a VP of FCC Program Governance. The… more
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