• Everence (Sarasota, FL)
    …various products and services.Process and maintain various communication approvals through the Broker Dealer compliance system. Maintain current forms, ... investment reviews. Acquire and maintain a strong working knowledge of compliance regulations.Attend scheduled team meetings and conference calls. Perform other… more
    JobGet (06/09/24)
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  • Truliant Federal Credit Union (Greensboro, NC)
    … guidelines, and strictly adheres to all Credit Union, TFA and broker - dealer policies where appropriate.Follows established policies and procedures of ethical ... the established guidelines for maintaining client files in accordance with broker - dealer practices and FINRA requirements.Meets or exceeds the minimum… more
    JobGet (06/09/24)
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  • Russell Tobin & Associates (New York, NY)
    …Desirable but not required - product inductions and training will be provided. Dealer -board / Turret technologies (IPC Unigy, Broker lines, hoot bridges) ... Create reports for Trading Voice Recording Operations and Senior Management teams. Compliance and Litigation Team support with data search, extraction, and delivery… more
    JobGet (06/09/24)
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  • Commercial Broker Dealer

    Capital One (Mclean, VA)
    Center 1 (19052), United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor Senior ... Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three institutional FINRA registered broker more
    Capital One (06/02/24)
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  • Commercial Broker Dealer Chief…

    Capital One (New York, NY)
    NYC 299 Park Avenue (22957), United States of America, New York, New York Commercial Broker Dealer Chief Compliance Officer - Sr. Director The Sr. Director ... will be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional FINRA registered broker -dealers and provide … more
    Capital One (04/30/24)
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  • Director, Scusa CCO, Head of Broker

    Scotiabank (New York, NY)
    Director, SCUSA CCO, Head of Broker Dealer & Corporate Functions Compliance **Requisition ID:** 199204 **Salary Range:** 174,700.00 - 286,000.00 _Please note ... future! **Purpose:** Acts as the Chief Compliance Officer for the US broker dealer and Head of Corporate Functions Compliance , The role will lead and… more
    Scotiabank (05/14/24)
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  • Sr. Compliance Analyst - Broker

    City National Bank (Los Angeles, CA)
    …+ Bachelor's Degree or equivalent + Minimum of 5 years of experience in Brokerage Operations, Broker Dealer Compliance , and Client Support for Broker ... **SR. COMPLIANCE ANALYST - BROKER DEALER INVESTMENT ADVISORY** **WHAT IS THE OPPORTUNITY?** Colleague is responsible for assisting CNS Branch Manager with… more
    City National Bank (05/30/24)
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  • Senior Compliance Officer - Broker

    Truist (Richmond, VA)
    …levels of management **Preferred Qualifications:** + Series 7 & 24 registered + Demonstrated Broker Dealer compliance experience + Proven compliance ... and directing compliance risk oversight of assigned business units ( Broker Dealer ) and/or functions. Leads and executes compliance risk management… more
    Truist (04/19/24)
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  • Senior Compliance Officer - Public Side…

    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 (05/29/24)
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  • Compliance Risk Management Lead - Vice…

    JPMorgan Chase (Jersey City, NJ)
    …for our team. The VP role will have a primary focus for coverage of the US Broker - Dealer (s) Compliance program. As a Vice President you will join a team of ... prepare the annual FINRA Compliance and Process Reports for the broker - dealer entities. + Provide guidance and technical expertise that supports the design,… more
    JPMorgan Chase (06/06/24)
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  • Director, Compliance Advisory, Nikko…

    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 ... with project management skills + 10+ years of regulatory and/or advisory compliance experience at a broker dealer . BA/BS required. Series 7, 24, 79 a plus.… more
    SMBC (05/17/24)
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  • Senior Manager, Compliance Risk Testing…

    Charles Schwab (Westlake, TX)
    … professional to join the team as a Senior Manager to conduct risk-based compliance testing within our Broker - Dealer and Investment Adviser programs. Though ... years of experience within financial services with a general understanding of broker - dealer , financial holding company, bank, and investment advisory businesses,… more
    Charles Schwab (06/08/24)
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  • Supervisory Principal

    Atria Wealth Solutions (San Diego, CA)
    …of experience with FINRA, the SEC regulations and practices. Extensive knowledge of broker dealer financial, compliance and supervisory operations. + 3+ ... institutions, and their clients. Headquartered in New York City, Atria's broker - dealer and investment adviser subsidiaries empower financial institutions and… more
    Atria Wealth Solutions (04/06/24)
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  • Vice President, Compliance - Monitoring…

    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
    TD Bank (06/05/24)
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  • Dealer Relationship Manager (remote)

    Truist (Dallas, TX)
    …Marine and RV Senior Management. 8. Closely monitor dealer and broker relationships to ensure compliance with policies and procedures regarding establishment ... lending in designated geographic areas nationwide. Maximize loan production volume from existing dealer and broker clients with focus on Bank's guidelines for… more
    Truist (06/01/24)
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  • Compliance Associate

    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
    Cleveland Research Company (05/24/24)
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  • Compliance Officer, Park Avenue Securities

    Guardian Life (New York, NY)
    …for the overall compliance framework for PAS as a dually registered broker - dealer and investment adviser. The incumbent will lead the implementation and ... regulatory requirements. Candidates must have a broad knowledge of US broker - dealer and investment advisory compliance , regulated business environments and… more
    Guardian Life (04/05/24)
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  • Wealth Management Compliance Electronic…

    Citizens (Westwood, MA)
    …electronic communication recordkeeping/supervision solutions. . Qualifications: + 5+ years of broker dealer /investment advisor compliance experience + Strong ... career with exciting new challenges and opportunities to stretch yourself. The Compliance Associate is responsible for working within Citizens Securities, Inc.'s … more
    Citizens (06/01/24)
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  • Front Office Trade Surveillance VP

    Truist (New York, NY)
    …Qualifications:** 1. MBA degree 2. Trade, as well as Regulator or institutional broker dealer compliance experience preferred. **General Description of ... within CIB. The team performs trade surveillance activities, working with traders, compliance , and other risk functions to review trade surveillance alerts and… more
    Truist (05/14/24)
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  • Business Line/ Broker - Dealer Risk…

    Federal Reserve System (Dallas, TX)
    …brokerage and financial services, or banking supervision. + Strong knowledge of broker dealer /advisory services operations and regulatory requirements. + Strong ... Advanced abilities to apply and explain complex regulatory concepts relating to broker dealer /advisory services activities. + Capacity to pursue multiple… more
    Federal Reserve System (05/01/24)
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