- M&T Bank (Boston, MA)
- **Overview:** Lead and manage the broker -dealer compliance team. Responsible for ensuring the broker dealer operates in compliance with all relevant ... matters. Personal responsibility and accountability to ensure FINRA compliance in the Institutional Broker Dealer. This...to ensure FINRA compliance in the Institutional Broker Dealer. This position has flexibility on on location… more
- Tradeweb (New York, NY)
- …technical expertise that supports the design, implementation and oversight of the compliance program established to support the broker -dealer and will monitor ... maintain and establish standards and implement procedures to ensure that the broker -dealer compliance program remains effective and efficient in identifying,… more
- SMBC (New York, NY)
- …function to the President and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the Chief Compliance ... **Qualifications and Skills** + 7-10+ years of regulatory and/or advisory compliance experience at a broker dealer. + A solid foundation in US securities laws… more
- Jackson National Life Insurance Company (Lansing, MI)
- …for developing and implementing regulatory change items, coordinating legal and compliance efforts as requested, and supporting the Associate General Counsel, ... review policies and procedures to ensure that the Company is operating in compliance with regulations and that regulatory reporting requirements are met. + Research… more
- Citizens (Johnston, RI)
- …of the Firm's current business model. Qualifications: + Minimum of 5 years of broker dealer compliance experience with at least 2 years of experience ... requirements pertaining to marketing and advertising in a retail broker /dealer environment. + Knowledge of compliance related...a retail broker /dealer environment. + Knowledge of compliance related matters within the Retail Broker … more
- SMBC (New York, NY)
- …a regulatory advisory function and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented by the Chief ... Skills** Critical Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer....+ Extensive Compliance Advisory experience at a broker dealer. + Strong knowledge in US securities laws,… more
- SMBC (New York, NY)
- …a regulatory advisory function and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented by the Chief ... risk assessment exercise. **Qualifications and Skills** + Extensive Compliance Advisory experience at a broker dealer...+ Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed income futures… more
- Zions Bancorporation (Salt Lake City, UT)
- …expertise on compliance and risk topics pertinent to the institutional broker dealer, bank dealer and municipal advisor. + Conduct scheduled monitoring and ... to business line management in a professional manner. + Support the broker dealer compliance program and officer as needed. + Interact with business line… more
- Capital One (New York, NY)
- … Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three institutional ... FINRA registered broker dealers and provide compliance support to the Capital Markets line of business, a division within the Commercial Bank of Capital One, as… more
- T. Rowe Price (Owings Mills, MD)
- …and acts as a subject matter expert ("SME") for the Director, North America Compliance , Broker Dealer in monitoring and enhancing compliance program ... related to Brokerage. + Provides support to the Director, North America Compliance , Broker Dealer and Chief Compliance Officer of TRPIS, as needed.… more
- CVS Health (Carson City, NV)
- …and execute market strategy impacting the recruitment, onboarding, engagement, sales/retention, and compliance adherence of assigned broker base. - Utilize the ... Southern Nevada** Aetna is looking for a Medicare Sales Broker Manager to join the southern Nevada sales team...adherence to all CMS and Aetna guidelines by monitoring compliance with state, federal, and health plan regulatory requirements.… more
- CVS Health (Salt Lake City, UT)
- …and execute market strategy impacting the recruitment, onboarding, engagement, sales/retention, and compliance adherence of assigned broker base. - Utilize the ... **Position Summary** Aetna is looking for a Medicare Sales Broker Manager to join the Utah sales team who...adherence to all CMS and Aetna guidelines by monitoring compliance with state, federal, and health plan regulatory requirements.… more
- ITW (Glenview, IL)
- …degree with focus on Business, Finance, or International Trade + 5-10 years trade compliance experience in-house, as a customs broker , trade consultant or a ... and activities as Trade Account Owner (TAO) + Customs broker selection and compliance oversight + Creating and presenting training and supporting materials… more
- PRIMARK (Boston, MA)
- … functions including recordkeeping, reporting, Importer Security Filings, customs clearances, broker compliance , and duty payments. RESPONSIBILITIES: + Provide ... + Boston, Massachusetts, United States + Employee - Permanent US Customs Compliance Senior Analyst Location: Boston, MA; Bethlehem, PA; or Jacksonville, FL… more
- TD Bank (New York, NY)
- …similar degree, required. + 7 or more years of experience in, with a registered US broker dealer or regulator, Compliance testing a plus. + JD desirable but not ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $160,000 - $187,000 USD TD is...details for this role **Job Description:** **Preferred Qualifications:** This Compliance Officer is a key member of the TDS… more
- Dorman (Colmar, PA)
- … regulations (eg, FTAs, country of origin, item markings etc.) import compliance procedures, broker operations, recordkeeping, and auditing. And/or, solid ... Trade Compliance Analyst Apply now " Date: Sep 19,...a plus (Certified Customs Specialist (CCS) or Licensed Customs Broker (LCB)). + Self-motivated with critical attention to detail,… more
- Marex (New York, NY)
- …entities including two broker dealers, swap dealer, and FCM. + Work with Compliance advisory teams (FCM, Broker Dealer, Solutions, Central Compliance ) to ... visit www.marex.com (http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Compliance Officer - Policies and Procedures of will create… more
- Copeland (El Paso, TX)
- …+ Routed export transaction program + Chapter 98 program + US customs broker scorecard and import compliance + Supports Copeland Customs-Trade Partnership ... team and start your journey today! **Description:** The Trade Compliance Manager - US & Canada will provide strategic...legal studies, or a related field. + US Customs Broker License, preferred + Experience with Oracle ERP and/or… 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 strong ... Compliance Associate Cleveland Research Company is an independent...Cleveland Research Company, LLC, an equity research firm and Broker Dealer registered in Cleveland, Ohio, is seeking a… more
- TG Missouri (Perryville, MO)
- …ERISA, HIPAA, ACA, and other relevant laws governing employee benefits. + Work with Broker to ensure compliance filings are timely and accurate. (ACA, 5500, ... promote point solutions to address prevalent health conditions in employee population. Compliance : + Ensure compliance with all federal and state regulations,… more
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