- M&T Bank (Boston, MA)
- …to senior management on compliance matters. **Supervisory/Managerial Responsibilities:** Broker Dealer Compliance team. **Education and Experience ... financial services industry experience with significant experience in senior level roles in broker dealer compliance or in lieu of degree a combined minimum… more
- 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
- SMBC (New York, NY)
- …advisory function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief ... **Qualifications and Skills** + 7-10+ years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in US securities… 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)
- …understanding of the Firm's current business model. Qualifications: + Minimum of 5 years of broker dealer compliance experience with at least 2 years of ... requirements pertaining to marketing and advertising in a retail broker / dealer environment. + Knowledge of compliance...of compliance related matters within the Retail Broker Dealer and Registered Investment Advisor and… 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
- 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
- Zions Bancorporation (Salt Lake City, UT)
- …Communicate findings/issues to business line management in a professional manner. + Support the broker dealer compliance program and officer as needed. + ... compliance and risk topics pertinent to the institutional broker dealer , bank dealer and...including the department policy and procedure manual. + Facilitate compliance oversight for broker dealer ,… 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 three ... management framework. The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of new and updated financial industry laws… more
- T. Rowe Price (Owings Mills, MD)
- …direction and acts as a subject matter expert ("SME") for the Director, North America Compliance , Broker Dealer in monitoring and enhancing compliance ... requirements related to Brokerage. + Provides support to the Director, North America Compliance , Broker Dealer and Chief Compliance Officer of TRPIS, as… 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 ... 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
- Marex (New York, NY)
- …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
- 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
- Citizens (Tarrytown, NY)
- … environment. + Knowledge of compliance related matters within the Retail Broker Dealer and Registered Investment Advisor and Insurance Agency. + Able to ... Description The Compliance Team Lead will have responsibilities within the...any and all business activities which involve any affiliated broker dealer /RIA or trust business. The individual… 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 ... and oversight requirements within the Treasury organization. **Team Description:** The Global Broker - Dealer Legal Entity Treasury team reports to the Global … 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
- Deloitte (Cleveland, OH)
- …of our insurance program (Life/Annuity and/or P&C/Specialty) as well as broker - dealer functions, with a particular focus on compliance and regulatory issues. ... a related field. + Minimum of 4 years of experience in insurance, broker - dealer , and/or investment advisor compliance . Compliance inspection or… more
- Citizens (Westwood, MA)
- …management protocols. Maintains strong relationships with business leaders, support staff, broker - dealer compliance , Independent Risk Management, Internal ... practices. Provides regulatory expertise and solutions on complex risk and compliance issues based upon understanding of business unit's activities and products.… more
- Robert Half Management Resources (New York, NY)
- …functions. Prior FINOP or related experience very helpful. Must have knowledge of Broker Dealer domain. Responsibilities: * Oversee broker dealer ... our Audit Director, you will be tasked with conducting broker - dealer audits, developing and implementing audit programs,...plans and findings to the audit committee * Ensure compliance with 3M company policies and procedures * Maintain… more
- Robert Half Finance & Accounting (New York, NY)
- …Half Financial Services is recruiting for a Senior Accountant role for a Banking and Broker Dealer firm located in midtown Manhattan. Our client requires a CPA ... Head Office, and the control and analytical review of holding company and broker dealer results, and inter-company confirmations + Reconciliation and control of… more
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