- 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 ... Very Strong (Standard Poors) Were proud of the training we offer. Chief Learning Officer : 2023 CLO Learning Elite Gold award Were proud to be recognized by… 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 ... is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within...+ M&T findings or recommendations; and/or + Observations by Compliance officer or business staff member +… 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 ... of knowledge of the FINRA, SEC, MSRB and state broker dealer regulatory requirements and landscape, strong... vision and strategy in conjunction with the Chief Compliance Officer . + Monitor ongoing legal and… more
- HUB International (New York, NY)
- …& Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker - Dealer : The Chief Compliance Officer , will be a highly visible, ... and enhancing the SEC compliance infrastructure. **Job Summary:** The **Chief Compliance Officer ** **for Retirement and Private Wealth** will be responsible… 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 ... Compliance Officer as either a member or observer of various...Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer… more
- Robert Half Legal (Dallas, TX)
- …across the organization. * Support stakeholders by drafting, reviewing, and revising broker - dealer compliance policies and procedures. * Provide expertise ... We are looking for a dedicated and detail-oriented Chief Compliance Officer to join our client's team...in broker - dealer compliance , leveraging industry knowledge to maintain… more
- Insight Global (New York, NY)
- … Officer will report to a supervisor with the Wealth Management Broker / Dealer Compliance division. * Review marketing material for consistency with ... Job Description The Compliance Officer will work closely with...work experience with a financial institution such as a broker / dealer . Minimum 3 years compliance … more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS US Compliance ... businesses, working with regional teams across the globe. This Compliance Officer will also support other aspects...or more years of experience with a registered US broker dealer , swap dealer , Global… more
- Equitable (Charlotte, NC)
- …SEC and FINRA a compliance programs related to its investment advisory and broker / dealer operations. Reporting to the CCO are the Firm's 3120 audit teams, ... Equitable Advisors Deputy Chief Compliance Officer ( 250000L7 ) **Primary...of the firm's growth strategy. Equitable Advisors is a broker / dealer and registered investment advisor that serves… more
- Zions Bancorporation (Salt Lake City, UT)
- …the talent; we bring the opportunity. **We are currently seeking a** **Risk and Compliance Testing Officer ** **within the Market, Liquidity, Wealth Risk & ... Team.** **Description** A Market, Liquidity, and Wealth Risk & Compliance (MLW) Testing Officer works closely with...products may include the Company's Capital Markets division, Bank Dealer , Broker / Dealer , Trust Divisions, Municipal… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance assists in ... + 2 years of experience with a registered US broker dealer or regulator. + Problem solving...and ability to work independently. **General Job Posting:** The Compliance Officer supports consumer regulatory compliance… more
- Wilcox Industries (Newington, NH)
- At Wilcox, the role of a Compliance Officer is vital in safeguarding the organization against legal and regulatory risks. This individual will ensure that the ... to all relevant Export laws and internal policies. The Compliance Officer helps to maintain the organization's...is part of the Inside Team consisting of Export Compliance , Customer Support, Dealer Relations, Public Relations,… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR-INVESTMENT ADVISORY* *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance oversight and ... Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser/ and the OCC. * For Wealth… more
- Scotiabank (Dallas, TX)
- …should involve compliance testing or audit. * Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading ... Testing Program covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, swap dealer , futures… more
- City National Bank (Los Angeles, CA)
- …Qualifications** * Two to five years of Client Service or Operational experience at a Broker Dealer or in an investment management environment. * FINRA Series 7 ... *INVESTMENT RELATIONSHIP OFFICER * WHAT IS THE OPPORTUNITY? Assist Financial Advisors...years of Client Service or Operational experience at a Broker Dealer . * Knowledge of SEC and… more
- GE Vernova (New York, NY)
- …capital markets products and services, including third-party fundraising and management. + Broker - Dealer Compliance : Coordinate and execute compliance ... will report to the Enterprise Development, Growth & Excellence ("EDGE") Chief Compliance Officer in New York, NY. **Job Description** **Essential… more
- Raymond James Financial, Inc. (New York, NY)
- …and an understanding of the market standard risk management practices . Broker - dealer supervisory frameworks, retail investment platforms, and UHNW product risks ... of fifteen (15) years of financial services experience required . Experience in broker - dealer or wealth management firms preferred, especially with exposure to… 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 ... plays a critical operational and support role within the broker - dealer 's compliance department. This position...platform by associates. + Obtain approval from the Chief Compliance Officer for associate financial accounts 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 ... 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
- TD Bank (New York, NY)
- …and certain global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $180,000 USD TD is...+ 7 years of experience with a registered US broker dealer , swap dealer , Global… more
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