- 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
- Siebert Williams Shank (New York, NY)
- …53 required; other regulatory licenses desired * At least 7 years working for a broker -dealer, with at least 5 years of compliance experience * Experience with ... Williams Shank & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker /dealer) is seeking to add a knowledgeable, driven, intellectually curious and experienced… more
- Centene Corporation (Austin, TX)
- …Purpose:** Manages Broker Oversight program and relationships with Broker /Agency partners for compliance performance management standards, program education ... link between our agency partners and internal Departments regarding broker behavior and compliance to policies and...and internal Departments regarding broker behavior and compliance to policies and procedures. + Provide direct complaint… 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 to… more
- City National Bank (Los Angeles, CA)
- …will work closely with the members of a team focusing on regulatory broker -dealer compliance issues with respect to monitoring public communications, marketing, ... as the primary day to day contact for the business regarding all broker -dealer related compliance matters. The Compliance Officer will report to a supervisor… 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
- 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
- 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 the lead ... qualifications, capabilities, and skills** + 5+ years previous experience in broker -dealer compliance + Knowledge of, or a demonstrated willingness to, obtain a… 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
- 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 compliance ...surveillance, reporting, and guidance for all aspects of a broker -dealer and a bank dealer and offer general support… 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 ... Nevada area** Aetna is looking for a Medicare Sales Broker Manager to join the Nevada sales team that...adherence to all CMS and Aetna guidelines by monitoring compliance with state, federal, and health plan regulatory requirements.… more
- HSBC (New York, NY)
- …compliance requirements applicable to the businesses + Swap Dealer and Broker Dealer compliance control testing experience + Strong managerial, interpersonal, ... 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)
- …reputational risks to the firm. ECC works closely with other departments, such as Broker Dealer Compliance , International Compliance , and Legal, and as such, ... 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
- 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
- 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
- Citigroup (Jersey City, NJ)
- The Compliance Anti-Money Laundering (AML) Risk Management Director for US Retail Brokerage/ Broker -Dealer and Consumer Wealth is a senior management level ... implement the AML risk management program for the US broker dealer and consumer wealth business lines, manage a...of firm-wide AML risk management policy and strategic AML Compliance Risk Management direction as well as maintain the… more
- AmeriHealth Caritas (Miami, FL)
- …and development strategies to optimize productivity and achieve enrollment targets. + Compliance and Integrity: Ensure all broker activities adhere to state ... ** Broker Relations Representative - Remote - Miami Metro...federal regulations, maintaining the highest standards of ethics and compliance . **Qualifications & Education:** + 3 to 5 years… 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 funding, ... oversight requirements within the Treasury organization. **Team Description:** The Global Broker -Dealer Legal Entity Treasury team reports to the Global Broker… more
- UNUM (Chattanooga, TN)
- …others, and join Team Unum today! **General Summary:** Executive leader of broker appointing & compensation with responsibility for delivering superior service to ... receiving compensation from Unum. Manages an organization of 46 people. * Broker Compensation operational services include broker appointing, contracting and… more
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