- Tradeweb (New York, NY)
- …will maintain and establish standards and implement procedures to ensure that the broker - dealer compliance program remains effective and efficient in ... identifying, preventing, detecting and remediating regulatory issues. + Oversee the broker - dealer compliance program functions including implementation of… more
- SMBC (New York, NY)
- …advisory function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief ... **Qualifications and Skills** + 7-10+ years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in US securities… more
- Siebert Williams Shank (New York, NY)
- …other regulatory licenses desired * At least 7 years working for a broker - dealer , with at least 5 years of compliance experience * Experience with fixed ... & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker / dealer ) is seeking to add a knowledgeable,...to add a knowledgeable, driven, intellectually curious and experienced compliance professional to the team led by the Chief… more
- Liberty Bank (Middletown, CT)
- …review of CRM notes and quality, and will serve as key liaison with broker - dealer on compliance , trading-issues and regulatory matters in partnership with ... the Program Director. The incumbent needs to be familiar with the broker - dealer 's compliance manual and on-going compliance and regulatory updates, and… 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
- 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 ... Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US securities laws, rules and regulations and… more
- City National Bank (Los Angeles, CA)
- …Officer will work closely with the members of a team focusing on regulatory broker - dealer compliance issues with respect to monitoring public communications, ... Officer will report to a supervisor with the Wealth Management Broker / Dealer Compliance division. *The Responsibilities* * Assist the Wealth Management… more
- JPMorgan Chase (Jersey City, NJ)
- … advice, guidance, and regulatory support to the JP Morgan Wealth Management Compliance broker - dealer (JP Morgan Securities, LLC) offering + Take ... qualifications, capabilities, and skills** + 5+ years previous experience in broker - dealer compliance + Knowledge of, or a demonstrated willingness… 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
- NatWest Markets (Stamford, CT)
- …Treasuries and Capital Markets business + Sound knowledge of broker dealer regulations, and securities products and compliance including knowledge of CFTC, ... Broker Dealer Testing, VP Stamford,United States... Broker Dealer Testing, VP Stamford,United States Permanent Full Time...will be part of the team responsible for assessing compliance risks and controls implemented by the first and… more
- Capital One (New York, NY)
- …Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three ... management framework. The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of new and updated financial industry laws… more
- HSBC (New York, NY)
- …compliance requirements applicable to the businesses + Swap Dealer and Broker Dealer compliance control testing experience + Strong managerial, ... investors, our communities and the planet we all share. Compliance Assurance Generalist roles act as an independent Second...processes and outcomes of First Line of Defence (1LOD) Compliance activities to provide assurance that the business is… more
- TIAA (Dallas, TX)
- …or reputational risks to the firm. ECC works closely with other departments, such as Broker Dealer Compliance , International Compliance , and Legal, and ... Serve as a member of the Enterprise Communications Compliance ("ECC") team that provides advice and guidance...of marketing materials. In addition, the role will provide Compliance thought leadership and solutions on approach to new… 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 reports to the Global … more
- Citizens (Boston, MA)
- …relevant experience in similar investigations capacity. + Five (5) years of broker - dealer , compliance , financial or operational audits/investigations or ... + Establish investigative plans, in collaboration with other investigators, compliance and the legal staff, and keep plan updated...and ambiguities in factual findings and discuss them with Compliance and Legal teams. + Draft clear and complete… more
- Citigroup (Jersey City, NJ)
- …objective is to design and implement the AML risk management program for the US broker dealer and consumer wealth business lines, manage a team, utilize in-depth ... The Compliance Anti-Money Laundering (AML) Risk Management Director for US Retail Brokerage/ Broker - Dealer and Consumer Wealth is a senior management level… more
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** We're looking for a Broker Dealer Trader II to join our Broker Dealer Services team. In this role, you'll provide prompt, courteous ... a team-oriented atmosphere **Skills That Will Help You Stand Out** + 2+ years of prior Broker Dealer experience preferred + FINRA Series 53 & 4 + Prior FINRA CAT… more
- M&T Bank (Clanton, AL)
- …institutions. Assist in oversight of Wealth, Institutional Client Services and Institutional Broker dealer testing for state, federal, domestic and possibly ... **Overview:** The Compliance Testing Advisor is responsible for the managing,...is responsible for the managing, leading, and execution of compliance testing engagements utilizing a risk-based approach in line… more
- Huntington National Bank (Columbus, OH)
- Description Summary: The Huntington Securities, Inc. (HSI) Broker Dealer Operations Analyst II is responsible for supporting institutional broker dealer ... In this dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational policies and procedures. Additionally, you… more