- Siebert Williams Shank (New York, NY)
- …Siebert Williams Shank & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker /dealer) is seeking to add a motivated compliance professional to assist ... more
- Janus Henderson Investors (Denver, CO)
- …team collaborating on strategy, risk management, and departmental/firmwide projects. 2. Chief Compliance Officer (CCO) of Limited Purpose Broker -Dealer: + Serve ... more
- NatWest Markets (Stamford, CT)
- …including knowledge of FINRA, SEC, CFTC, DTCC and NFA regulation. + Knowledge of broker -dealer and swap dealer compliance laws, rules and regulations. + Strong ... 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 ... more
- Robert Half Finance & Accounting (San Diego, CA)
- … compliance procedures as needed. Requirements + Previous experience in broker -dealer compliance is mandatory, with a strong understanding of financial ... more
- Arena Investors LP (Jacksonville, FL)
- … policies and procedures; . Administration of firm (Investment Adviser and Broker -Dealer) annual compliance review (testing and monitoring); . Conflicts of ... more
- Robert Half Finance & Accounting (New York, NY)
- …a well-established and highly successful Broker Dealer firm, is seeking a skilled Compliance Manager to join their team. This key role works to ensure the firm's ... 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 + ... more
- Siemens Energy (Charlotte, NC)
- …exercises reasonable care in filing SE US customs declarations. Implement US customs broker compliance monitoring through metrics and broker scorecards. + ... more
- TIAA (Chicago, IL)
- …reputational risks to the firm. ECC works closely with other departments, such as Broker Dealer Compliance , International Compliance , and Legal, and as such, ... more
- Truist (Atlanta, GA)
- … compliance will also be considered for the role. 6. Institutional Broker -Dealer compliance experience. 7. Control Room experience, research clearance and ... more
- Winland Foods (Columbus, OH)
- …trade spend strategy with the support of the Director, Trade Strategy, ensures broker compliance to Trade requirements + Understands and works effectively in ... more
- GE HealthCare (Niskayuna, NY)
- … compliance execution teams globally responsible for export screening, import compliance , broker management, classification and FTA operations either directly ... more
- SMBC (Jersey City, NJ)
- …Degree and/or Certifications (ie FINRA Series 7,63, 24) are desired + Has a Compliance Testing, Broker Dealer Regulatory or Internal Audit Background + Strong ... more
- General Atomics (Poway, CA)
- …Coordinate and process import and export shipments, including AES filing and customs broker interaction. + Provide trade compliance support for customs and ... 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 ... more
- Grand Welcome (Honolulu, HI)
- …licensees in compliance with the statutory requirement + Assist principal broker in ensuring that the licenses of all associated real-estate licensees and ... more
- AON (Chicago, IL)
- Surety Account Executive/ Broker II - Chicago, IL or New York, NY Are you passionate about construction and want to join a dynamic cultured, growing division of Aon? ... more
- NatWest Markets (Stamford, CT)
- …Bond, Repo, Treasuries and Capital Markets business + Sound knowledge of broker dealer regulations, and securities products and compliance including knowledge ... more
- CRC Insurance Services, Inc. (Birmingham, AL)
- …Shift (United States of America) **Please review the following job description:** Supports Broker with all job functions to learn the industry, business and job ... more
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