- Marex (New York, NY)
- …www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide ... Compliance Plan in line with below responsibilities: + Provide Compliance Advisory services to broker - dealer business lines. + Complete or assist in… 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 ... compliance risk. Advisory is represented by the Chief Compliance Officer as either a member or...be well organized with project management skills. + Regulatory compliance experience at a broker dealer… 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 ... of the department and the business._ **Job Description** The Compliance Advisory Officer reporting to the ...experience with broker - dealer and swap dealer rules and regulations and providing compliance … 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
- Marex (New York, NY)
- …in line with below responsibilities: + Provide Compliance Advisory services to US Broker Dealer business lines. + Complete or assist in completing US ... information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will...Broker Dealer related regulatory inquiries. + Complete… 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 ... expand the team through the addition of a senior Compliance Officer . In this role, this individual...and procedures; . Administration of firm (Investment Adviser and Broker - Dealer ) annual compliance review (testing… 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 ... **Description** FHN Financial is seeking an experienced, licensed Compliance Officer to provide primary ...a broker - dealer and a bank dealer and offer general support to the compliance… more
- Equitable (Charlotte, NC)
- …years of established compliance experience, preferably with a wholesale distributing broker dealer . + Demonstrated understanding of SEC, FINRA and State ... Compliance Officer ( 25000075 ) **Primary... Compliance Officer ( 25000075 ) **Primary Location** : UNITED...NC office. Equitable is currently looking to hire a Compliance Officer within Equitable Distributors Compliance… more
- Scotiabank (New York, NY)
- Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary Range:** 180,000.00 - 301,500.00 _Please note that the Salary Range shown is a guideline ... . **What You'll Do** + Acting as a senior compliance officer and Compliance team... experience, including experience providing advisory support to a broker - dealer equities sales and trading business. +… more
- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is recruiting for a Surveillance Compliance officer to join their team in New York. The role ... opportunity to gain exposure to a wider range of compliance activities at a market-leading firm. Marex has unique...E-communications, Voice, and Trade Surveillance review services to US Broker Dealer (BD) and FCM business lines… more
- Santander US (New York, NY)
- Advisory Compliance Officer - Fixed Income Business Line Compliance Country: United States of America **Your Journey Starts Here:** Santander is a global ... You!** USA Job Family Description: You will provide real-time compliance advisory support to the US Fixed Income &...the US Fixed Income trading/regulatory framework, including FINRA, SEC broker dealer regulations and other relevant bank… more
- BMO Financial Group (New York, NY)
- … Compliance team in New York with a focus on FINRA and SEC broker - dealer requirements and corresponding oversight. We are looking for someone to work closely ... and fiduciary obligations are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain current knowledge of… more
- City National Bank (Los Angeles, CA)
- …*Must-Have** * Two to five years of Client Service or Operational experience at a Broker Dealer or in an investment management environment. * FINRA Series 7 and ... *INVESTMENT RELATIONSHIP OFFICER * WHAT IS THE OPPORTUNITY? Assist Financial Advisors...years of Client Service or Operational experience at a Broker Dealer . * Knowledge of SEC and… more
- PNC (FL)
- …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 Supervision Officer (RSO) within PNC Investments, you may be based in a remote location. This… more
- Citigroup (New York, NY)
- …proposals and new financial product proposals in Fixed Income Credit and Broker Dealer and Banking products, and provide independent liquidity risk ... Citibank, NA seeks a Treasury Risk Officer for its New York, New York location....to changes in the regulatory environment and ensure regulatory compliance . Produce presentation materials and present analysis to management… more
- Manulife (Boston, MA)
- …**Required Qualifications:** + The ideal candidate will have 5+ years of broker - dealer compliance experience or comparable financial services industry ... the impact to policies and procedures. + Provide compliance reporting to the Compliance Director, Chief Compliance Officer (s) and Global Compliance … 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 covering fixed income and/or fixed… more
- Aegon Asset Management (Cedar Rapids, IA)
- … Officer (CCO). The candidate will support the CCO in managing the compliance program covering TFA's retail broker - dealer and investment advisory ... years of regulatory or securities compliance experience, preferably in a retail broker - dealer and investment advisory environment + At least 2 years of… more
- Bank of America (Charlotte, NC)
- …and ensure Risks identified are reflected across all scenarios + Lead EFR coverage of SEC broker dealer net capital rules and CFTC swap dealer capital rules, ... the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief Financial Officer...capital management activities, including capital planning and forecasting for broker dealer and 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 an independent...Cleveland Research Company, LLC, an equity research firm and Broker Dealer registered in Cleveland, Ohio, is… more
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