- 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 ... of the department and the business._ **Job Description** The Compliance Advisory Officer reporting to the ...experience with broker - dealer and swap dealer rules and regulations and providing compliance … more
- NatWest Markets (Stamford, CT)
- Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer Stamford,United States Permanent Full Time \#R-00244248 Our people work differently ... the department and the business._ Senior Monitoring and Testing Compliance Assurance Officer reportingto the US General...knowledge of CFTC, DTCC,NFA regulation. + Good knowledge of broker - dealer and securities processes and business. +… more
- NatWest Markets (Stamford, CT)
- … Compliance Assurance Officer this role is responsible for assessing compliance risks and controls within the Swap Dealer testing program. The candidate ... swap- dealer business. + Good knowledge of swap dealer regulations, and securities products and compliance ...knowledge of CFTC, DTCC, NFA regulation. + Knowledge of broker - dealer and securities processes and business. +… 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 ... Compliance Officer as either a member or observer of various...+ Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… 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 ... Compliance Officer as either a member or observer of various...+ Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US… more
- Truist (Charlotte, NC)
- …with the Enterprise Compliance Management Policy and Framework for the Institutional Broker Dealer . **LOCATION:** **We are currently in the office 3 days, ... to time. 1. Interpret new or existing laws, rules and regulations for an Institutional Broker Dealer that are complex and multifaceted and use that knowledge as… 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 ... **Description** FHN Financial is seeking an experienced, licensed Compliance Officer to provide primary ...a broker - dealer and a bank dealer and offer general support to the compliance… more
- City National Bank (Los Angeles, CA)
- * COMPLIANCE OFFICER SENIOR* WHAT IS THE OPPORTUNITY? The Senior Compliance Officer within the Fair and Responsible Banking Department is responsible for ... managing and maintaining assigned areas of the compliance program covering Fair and Responsible Banking including monitoring...roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... of compliance experience, including experience providing advisory support to a broker - dealer equities sales and trading business. + Knowledge of relevant SEC… more
- Marex (New York, NY)
- …(http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Executive Compliance Officer - Solutions Advisory position will ... + At least 10 years of securities advisory experience. Knowledge of broker - dealer activities and requirements. + Strong knowledge of applicable securities… more
- Morgan Stanley (New York, NY)
- …and apply judgment to resolve issues in a timely manner > Knowledge of broker - dealer regulatory compliance , including SEC, FINRA and other SRO rules ... sponsored benefit programs. **Job:** ** Compliance * **Title:** *Equity Sales & Compliance Officer * **Location:** *New York-New York* **Requisition ID:**… more
- SMBC (New York, NY)
- …to Fixed Income, Equities, Futures and Credit Derivatives + Functional knowledge of Broker / Dealer and Market Making related compliance and risk management ... Summary** The Nikko Securities America, Inc. middle/back office Business Control Officer is a business-aligned change agent and risk management individual… more
- City National Bank (Los Angeles, CA)
- …*Must-Have** * Two to five years of Customer Service or Operational experience at a Broker Dealer . * Series 7 license * Series 63 and Series 65 licenses ... *ASSISTANT INVESTMENT OFFICER (FLOATER)* WHAT IS THE OPPORTUNITY? Assist Investment Officers...investment vehicles. * Comply with and conform to all compliance and regulatory requirements of all regulatory authorities and… more
- Neuberger Berman (New York, NY)
- … of FINRA RSL Rule. + 3-5 years of investment advisory or broker - dealer experience, ideally with background in supervisory principal activities + Detail-oriented ... focus on identification, mitigation and resolution of alerts related to IPS Compliance (including but not limited to deviation from asset allocation/risk profiles,… more
- CIBC (New York, NY)
- …CIBC and Line of Business policies, standards, guidelines and controls. + As a Compliance Officer , this job is accountable for reviewing the work of others ... registrations (eg U4, U5, Form BD). + Performing surveillance of US broker - dealer regulatory trade reporting obligations + Performing electronic communications… more
- PNC (Cleveland, OH)
- …defense Risk, Change, Experience & Strategy (RCES) organization, and serve as the Chief Compliance Officer for PNC Investments LLC ('PNCI") - a dually registered ... broker / dealer and investment advisory subsidiary of PNC...not be available in all geographic locations. As Chief Compliance Officer of PNCI you will manage… more
- Scotiabank (New York, NY)
- …and broker -dealers, and assist in successfully executing banking and broker - dealer -related audits, regulatory matters, and strategic initiatives. + Lead and ... control under GAAP and IFRS. + Act primarily as Officer in Charge (OIC) for assigned projects, processes, and...regionally and globally to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships… 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
- City National Bank (New York, NY)
- …of modification and enhancements of COI transaction monitoring models. Works with the Compliance Training Officer to ensure that ongoing management of the ... and industry best practices. * In conjunction with the Compliance Training Officer , develops, implements, and manages...roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For… more
- Ankura (FL)
- …risk assessments, policies, procedures, internal controls, and systems processes; + Prepare compliance reports for Compliance Officer , Senior Management, ... companies, third-party payment processers, consumer collections agencies and securities/brokerage [ broker dealer ] + Working knowledge/experience with virtual… more
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