- Siebert Williams Shank (New York, NY)
- …other regulatory licenses desired * At least 7 years working for a broker - dealer , with at least 5 years of compliance experience * Experience with fixed ... & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker / dealer ) is seeking to add a knowledgeable,... professional to the team led by the Chief Compliance Officer . The selected candidates will be… 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
- Capital One (New York, NY)
- … Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer . This role will support three institutional ... Senior Manager will work independently from the CBD Chief Compliance Officer to interact with and advise... Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast 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 ... Compliance Officer as either a member or observer of various...and Skills** + 7-10+ years of regulatory and/or advisory compliance experience at a broker dealer… more
- NatWest Markets (Stamford, CT)
- Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer Stamford,United States Permanent Full Time \#R-00244248 Share: ... (https://jobs.natwestgroup.com/jobs/15076523-senior-monitoring-and-testing- compliance -assurance- officer -swap- dealer /apply?tm\_src=0) Our people work differently depending on… more
- City National Bank (Los Angeles, CA)
- …day to day contact for the business regarding all broker - dealer related compliance matters. The Compliance Officer will report to a supervisor with ... be employed by City National Bank. *The Opportunity* The Compliance Officer will work closely with the...with the members of a team focusing on regulatory broker - dealer compliance issues with respect… 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 (Atlanta, GA)
- …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
- SMBC (Jersey City, NJ)
- …scope of this function will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and ... SMBC Group is seeking a Vice President for the Compliance Risk Assessment team ("CRA team") within the ...focus of this role will be on the US broker dealer and US swap dealer… 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
- Securities and Exchange Commission (Chicago, IL)
- …Regional Director, plans and establishes staffing needs, work streams and policy for the Broker Dealer Examination Program of the Division of Examinations in the ... Summary The Senior Officer -Associate Regional Director position is in the Chicago...responsible capital formation through risk-focused strategies that: (1) improve compliance ; (2) prevent fraud; (3) monitor risk; and (4)… more
- Securities and Exchange Commission (Chicago, IL)
- …Regional Director, plans and establishes staffing needs, work streams and policy for the Broker Dealer Examination Program of the Division of Examinations in the ... Summary The Senior Officer -Associate Regional Director position is in the Chicago...responsible capital formation through risk-focused strategies that: (1) improve compliance ; (2) prevent fraud; (3) monitor risk; and (4)… more
- PNC (NC)
- …Regional Supervision Risk Officer (RSO) reports into PNC Investments, which is a broker - dealer subsidiary of PNC Bank. This role works with Compliance , ... in firm policy, procedure and the regulatory environment. As a Regional Supervision Risk Officer within PNC Investments, you may be based in a remote location. This… more
- Citigroup (San Antonio, TX)
- …a plus. 5+ years' experience in financial services. + Knowledge of Bank and broker - dealer business, regulatory requirements and related policy. + Ability to work ... The Business Risk Officer role in Citi Global Wealth is a...group of support and control functions including Business Risk, Compliance , Operational Risk, Legal and Internal Audit. **Responsibilities:** +… more
- Neuberger Berman (New York, NY)
- …24 (or 9/10) licenses required + 3-5 years of investment advisory or broker - dealer experience, ideally with background in supervisory principal activities + ... focus on identification, mitigation and resolution of alerts related to IPS Compliance (including but not limited to deviation from asset allocation/risk profiles,… 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
- Ankura (NY)
- …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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