- NatWest Markets (Stamford, CT)
- …knowledge of FINRA, SEC, CFTC, DTCC and NFA regulation. + Knowledge of broker - dealer and swap dealer compliance laws, rules and regulations. + Strong ... Broker Dealer Advisory - VP Stamford,United... Broker Dealer Advisory - VP Stamford,United States Permanent Full...experience with broker - dealer and swap dealer rules and regulations and providing compliance … 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
- Atria Wealth Solutions (Lunenburg, MA)
- …educational webinars/seminars and client appreciation events. This includes submitting materials for broker - dealer compliance approval prior to use. + Drive ... departments of the credit union. + Act as the liaison between the client, broker / dealer operations and compliance , and the vendor to resolve pending issues… 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
- T. Rowe Price (Owings Mills, MD)
- …placement in one or many of our North America Compliance teams, including, Broker - Dealer Compliance , Fraud and Financial Crimes, Global Communications ... diversity and inclusion efforts across the firm. Groups within North America Compliance are responsible for identifying, measuring, and reporting on compliance … 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
- Bank of America (Charlotte, NC)
- …Developing and maintaining enterprise-wide policies, procedures, standards and training for SOX Compliance , Broker - Dealer 17a-5 Compliance , Internal ... to includeSarbanes-Oxley (SOX) Program, the FR Y-14 CFO Attestation Program, and the Broker - Dealer . This includes assisting with: + Research and maintenance of… 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
- Raymond James Financial, Inc. (CO)
- …**Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker / dealer compliance and/or branch exams + Rules and ... all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and...and adverse trends are identified and escalated + Provide compliance support to business partners, as needed + Maintain… more
- Charles Schwab (Westlake, TX)
- …5-7+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience and/or Big 4 Accounting ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit… more
- Charles Schwab (Westlake, TX)
- …5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking a Senior Auditor… more
- NatWest Markets (Stamford, CT)
- Broker Dealer Testing Associate Closing date for applications: 06/02/2025 Stamford,United States Permanent Full Time \#R-00249216 Our people work differently ... Testing Associate 2LOD** This role is responsible for assessing compliance risks and controls within the Swap Dealer...of CFTC, DTCC, NFA regulation. + Some knowledge of broker - dealer and securities processes and business. +… more
- Huntington National Bank (Columbus, OH)
- Description Job Title Broker - Dealer Accountant 3 Reporting to the Business Segment Controller, this position will play a vital role in the broker - dealer ... that may impact accounting and net capital. + Become knowledgeable with clearing broker 's back office system and work with Operations Manager to promptly resolve any… more
- PNC (Pittsburgh, PA)
- …We are looking to hire an AML Sanctions Advisor within PNC's Enterprise Advisory Broker Dealer team. Preferred Qualifications: . 5+ years of experience with AML ... . At least 1-2 yrs of direct experience with Broker Dealer Job Duties include, but are...matter specialties, communicates effective enterprise wide and business unit compliance program requirements and implications to comply with the… more
- SMBC (Jersey City, NJ)
- …It administers the SMBC Employee Investment Policy, arranges for the registration of broker - dealer personnel, and conducts compliance training. In addition, ... The SMBC Compliance Department monitors the corporate banking, investment banking and broker dealer activities of SMBC Group and reports on the compliance… more
- Ascensus (Dresher, PA)
- …Bachelor's degree in related field, or proven experience in financial services (ie, broker - dealer and/or investment adviser) compliance + Minimum seven years ... and government savings facilitator. The regulated entities may include a broker - dealer , registered investment advisory firms, and transfer agent securities… more
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** We're looking for a Senior Privacy Specialist to join our Broker Dealer team in Principal Securities. In this role, you'll serve as ... the privacy of, and access to employee and customer information in compliance with federal and state laws, and the organization's information privacy practices.… more
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