- City National Bank (Los Angeles, CA)
- …benefit, and personal trust relationships, propriety mutual funds, investment management, broker / dealer and security sales and trading activities. IT audits ... information security applications, security administration and business continuity planning. Compliance audits assessing the bank's compliance program to… more
- NYL - Matthews (Charlotte, NC)
- …disability income insurance, and investment products such as mutual funds1 through our broker - dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC), a ... FINRA general securities, agent state law, investment advisory licenses, compliance history, production standards, and required training. Requirements are subject… more
- Coinbase (Madison, WI)
- …in you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment ... 15c3-5 Market Access, Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at least parts of programs. *… 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 ... and Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in US securities… more
- Robert Half Legal (San Diego, CA)
- Description Financial Services Company Seeks Senior Attorney Focused on Broker - Dealer Compliance & FINRA Arbitrations About Firm & Position: A ... financial services organization is seeking a Associate General Counsel - Broker - Dealer Regulatory Compliance to join its growing corporate legal… more
- Equitable (Charlotte, NC)
- …team. This role is critical in ensuring the effective oversight of outsourced broker - dealer operations, maintaining compliance with regulatory standards, and ... Broker Dealer Outsourcing and Oversight Analyst... Broker Dealer Outsourcing and Oversight Analyst ( 250000NB )... operations while playing a key role in ensuring compliance and operational excellence. If you are passionate about… more
- SMBC (New York, NY)
- …issues until resolved. + Must be well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer ... time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory… more
- JPMorgan Chase (Jersey City, NJ)
- …learning as this role will have a primary focus covering the US Broker - Dealer (s) Compliance program. **Job Responsibilities** + Coordinate periodic reporting ... prepare the annual FINRA Compliance and Process Reports for the broker - dealer entities. + Provide guidance and technical expertise that supports the design,… more
- Regions Bank (Atlanta, GA)
- …careers section of the system. **Job Description:** At Regions, the Capital Markets Compliance Analyst performs compliance tasks and deals with compliance ... Monitors legal entity and business unit activity to ensure compliance with laws, regulations, and internal procedures + May...and internal procedures + May also prepare and review compliance reports for management + May provide guidance and… more
- Robert Half Legal (Dallas, TX)
- …across the organization. * Support stakeholders by drafting, reviewing, and revising broker - dealer compliance policies and procedures. * Provide expertise ... in broker - dealer compliance , leveraging industry knowledge to maintain standards and address challenges. Requirements * Proven experience in compliance … more
- T. Rowe Price (Owings Mills, MD)
- …a difference in ways that matter to you . About this Position Reporting to the Broker / Dealer Chief Compliance Officer, the role is responsible for ensuring ... with key stakeholders across the firm including Legal and Compliance colleagues to review, interpret and implement new regulatory...of knowledge of the FINRA, SEC, MSRB and state broker dealer regulatory requirements and landscape, strong… more
- ADP (Florham Park, NJ)
- … compliance , or operations. + Minimum of 2 years of experience in a broker - dealer compliance or registration role + Strong familiarity with FINRA ... Administrator plays a critical operational and support role within the broker - dealer 's compliance department. This position ensures accurate and timely… more
- Insight Global (New York, NY)
- … Compliance Officer will report to a supervisor with the Wealth Management Broker / Dealer Compliance division. * Review marketing material for consistency ... 5 years of relevant work experience with a financial institution such as a broker / dealer . Minimum 3 years compliance experience with a broker / dealer… more
- GE Vernova (New York, NY)
- …capital markets products and services, including third-party fundraising and management. + Broker - Dealer Compliance : Coordinate and execute compliance ... obligations for regulated securities transactions arranged through a registered Broker - Dealer and Financial Industry Regulatory Authority (FINRA) member firm,… more
- Capital One (New York, NY)
- …**Preferred Qualifications:** + **4+ years of experience within a broker dealer registration and licensing function or similar compliance experience** + **3+ ... Associate Broker Dealer Risk Specialist **The Associate...and mitigate potential risks to the Company using various compliance surveillance tools and methods. The Associate Risk Specialist's… more
- Neuberger Berman (New York, NY)
- …for the firm **Requirements:** + 1 - 5 years of investment advisory or broker - dealer compliance experience + Bachelor's degree required + Experience with ... Neuberger is seeking an Analyst to join the Compliance Team in New York. This person will...New York. This person will report into the Chief Compliance Officer - Central Compliance . In this… more
- Raymond James Financial, Inc. (New York, NY)
- …**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
- 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
- HUB International (New York, NY)
- …Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker - Dealer : The Chief Compliance Officer, will be a highly ... HUB is one of the largest global insurance and employee benefits broker , providing a boundaryless array of business insurance, employee benefits, risk services,… more
- Capital One (New York, NY)
- …+ At least 5 years of trade surveillance, market regulation, or At least 5 years Compliance experience within a Broker - Dealer or Swap Dealer environment. ... + 6+ years of trade surveillance, market regulation, or 6+ years compliance experience within a Broker - Dealer or Swap Dealer environment. + Relevant… more
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