- 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
- 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 ... Advisor Senior Manager will work independently from the CBD Chief Compliance Officer to interact with and... Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of… 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,...compliance professional to the team led by the Chief Compliance Officer. The selected candidates will… more
- SMBC (New York, NY)
- …and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief Compliance Officer as either ... **Qualifications and Skills** + 7-10+ years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in US securities… more
- SMBC (New York, NY)
- …and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance Officer as either ... 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)
- …and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance Officer as either ... Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US securities laws, rules and regulations and… more
- Citigroup (New York, NY)
- …country level. This is a role focusing on coordinating the assurance coverage of the Broker Dealer - Citi Global Markets Inc. This role will include producing ... and manage a budget. + Manage coverage of US broker dealer entity (CGMI) by working collaboratively...+ Coordinating with Head of Internal Audit and Markets Chief Auditor for presentation of key management information related… 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
- Navy Federal Credit Union (Winchester, VA)
- …+ At the direction of the VP Legal Compliance & Risk, (ie: NFFG Chief Compliance Officer), work with federal and state regulators on exams, audits, and ... and procedures + Respond to requests form the NFFG Chief Compliance Officer and senior management for...as assigned Qualifications + Significant experience in evaluating a broker / dealer operation for associated risks in a… more
- Citigroup (New York, NY)
- …alongside others responsible for providing support on oversight and governance of the US broker - dealer chain legal entities. This role reports into the Chief ... on the development and implementation of non-financial risk monitoring program ( compliance risk, operational risk, and reputation risks), in conjunction with… more
- Truist (Atlanta, GA)
- …knowledge of Truist's business and operating model, legal structure (including broker / dealer activities) and financial modeling to provide oversight for ... including as co-Chair of various governance committees, promote Truist's compliance with Board-stated risk appetite, regulatory standards, and industry best… more
- Vanguard (Malvern, PA)
- …etc. + Leads and develops Fixed Income sales strategies across the broker - dealer , registered investment advisor, and bank/asset management/insurance channels to ... alignment with multiple business partners (eg, Marketing, Portfolio Review Department (PRD), Chief Data & Analytics Office (CDAO) to achieve FI aspirations. This… more