- SMBC (New York, NY)
- …until resolved. + Must be well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer ... in achieving industry best practices and in minimizing + regulatory risk. + Coordinate compliance regulatory...+ Extensive Compliance Advisory experience at a broker dealer and or swap dealer… 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
- Principal Financial Group (Des Moines, IA)
- …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 ... You will also provide day-to-day support to Principal's dually-registered retail broker - dealer and investment adviser, Principal Securities. In this role,… 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
- 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 ... Advisory Officer will also be able to manage compliance and regulatory related projects, working with...experience with broker - dealer and swap dealer rules and regulations and providing compliance … 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
- US Bank (Charlotte, NC)
- …to join our team to lead the Finance division of both a wealth management/retail broker dealer and a capital markets/institutional broker dealer . The ... and adhere to Generally Accepted Accounting Principles (GAAP) * Maintain and utilize broker dealer back office and settlement systems for financial management… more
- KeyBank (Lea County, NM)
- …introducing broker . The consultant will drive process improvements, ensure regulatory compliance , and support operational readiness across derivatives and ... of experience in financial services, with direct exposure to brokerage and swap dealer operations. + Strong understanding of introducing broker - dealer models… 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 ... of revenues and expenses associated with underwriting activity. + Review applicable regulatory rules and interpretations to maintain firm compliance and… more
- NatWest Markets (Stamford, CT)
- …**Swap Dealer Testing Associate** **2LOD** This roleis responsible forassessing compliance risks and controls within the Swap Dealer testing program. ... and willbe responsible formonitoring and assurance reviews toidentifypotential breaches of Regulatory Obligations and Corporate Compliance policies. This role… more
- Deloitte (Stamford, CT)
- … compliance for over 100K professionals and the daily import of 20+ broker dealer files into Deloitte's Independence monitoring system called the Tracking & ... enjoy working with customers to answer their questions? We are seeking an Independence Compliance Analyst who will be responsible for monitoring brokerage account… 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 ... Broker Dealer related regulatory inquiries....Broker Dealer related regulatory inquiries. + Complete or...+ Provide Compliance Advisory services for US Broker Regulatory Reporting process. + Ensuring … more
- Manulife (Boston, MA)
- …**Required Qualifications:** + The ideal candidate will have 5+ years of broker - dealer compliance experience or comparable financial services industry ... Compliance Officer(s) and Global Compliance Office. + Coordinate regulatory examinations of the Broker -Dealers and assist, as needed, with responses… more
- Wells Fargo (Charlotte, NC)
- …Careers Site at Wellsfargo.com/career. **In this role, you will:** + Advise on broker - dealer regulatory matters, including FINRA and SEC related requirements ... of the Legal Department to support CIB businesses and support teams on securities regulatory issues, broker - dealer matters and assessing the impact of … more
- SMBC (New York, NY)
- …discipline to follow up on issues until resolved. + 10+ years of regulatory compliance experience at a broker dealer . BA/BS required. Series 7, 24, 79 ... of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory advisory...and is responsible for overseeing the management of the broker dealer 's compliance risk, and… more
- NatWest Markets (Stamford, CT)
- … **Essential:** + Experience working within a legal or compliance function of a Swap Dealer or a broker dealer . + Understanding of US regulatory ... swap dealer rules and regulations) and SEC/FINRA rules governing broker -dealers. + Experience monitoring and reviewing regulatory changes, writing and… more
- Bank of America (Jersey City, NJ)
- … Reporting Controller II role is within the GRR Broker Dealer organization responsible for the preparation of Regulatory Reporting calculations (SEC ... computations - Prepares and reviews trend and analytical reporting related to Broker Dealer computations - Works with internal controls functions and… more
- Raymond James Financial, Inc. (NY)
- …assigned. + Serves as a subject matter expert on matters pertaining to regulatory reporting and broker dealer operations by maintaining proficient ... and experience to manage and oversee the operation of compliance functions for Regulatory Reporting and RJA...oversee the operation of compliance functions for Regulatory Reporting and RJA Operations departments. Manages associates and… more
- Citigroup (Getzville, NY)
- …be a plus. + Familiarity with SEC Rule15c3-1 & 15c3-3, brokerage accounting, and broker - dealer regulatory filing is a plus. + Strong interpersonal skills ... **Objective** The Operations Regulatory Reporting group validates, monitors, & performs ...4+ years of related experience in the banking / broker - dealer industry. + Material experience with operational… more
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