- 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 ... more
- Janus Henderson Investors (Denver, CO)
- …and departmental/firmwide projects. 2. Chief Compliance Officer (CCO) of Limited Purpose Broker - Dealer : + Serve as the primary Compliance Officer for the ... more
- Siebert Williams Shank (New York, NY)
- …Williams Shank & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker / dealer ) is seeking to add a motivated compliance professional to assist the ... more
- NatWest Markets (Stamford, CT)
- …Treasuries and Capital Markets business + Sound knowledge of broker dealer regulations, and securities products and compliance including knowledge of CFTC, ... more
- Robert Half Finance & Accounting (New York, NY)
- …include: Liquidity & Capital Management - Oversee capital strategy, liquidity resources, and regulatory compliance Clearing & Fixed Income Operations - Work with ... more
- Huntington National Bank (Detroit, MI)
- Description Job Title Broker - Dealer Accountant 3 Reporting to the Business Segment Controller, this position will play a vital role in the broker - dealer ... more
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** We're looking for a Senior Privacy Specialist to join our Broker Dealer team in Principal Securities. In this role, you'll serve as ... more
- NatWest Markets (Stamford, CT)
- …**Swap Dealer Testing Associate** **2LOD** This roleis responsible forassessing compliance risks and controls within the Swap Dealer testing program. ... more
- Scotiabank (New York, NY)
- …Reporting, FR Y-15, and other Fed reports. + Assist the Broker Dealer Regulatory Reporting team in ensuring compliance with Broker Dealer 15c3-1 ... more
- SMBC (Jersey City, NJ)
- …(ie FINRA Series 7,63, 24) are desired + Has a Compliance Testing, Broker Dealer Regulatory or Internal Audit Background + Strong desire to ... more
- Marex (New York, NY)
- …degree in accounting or finance and 10 years of experience in a clearing broker / dealer regulatory reporting role. + FINRA Series 99 required, FINRA ... more
- Santander US (New York, NY)
- …Banking ("SCIB") businesses, including swaps, securities-based swaps, futures, banking and broker dealer activities + Develop and maintain effective ... more
- Santander US (New York, NY)
- …("SCIB") businesses, including swaps, securities based swaps, futures, banking and broker dealer activities + Develop and maintain effective relationships ... more
- Tradeweb (New York, NY)
- …with Big 4 or national accounting firm experience + Knowledge and experience in broker dealer regulatory requirements + Experience in preparing or reviewing ... more
- Vanguard (Malvern, PA)
- …and retail investment advice / wealth management businesses. Broad knowledge of broker - dealer , banking, and trust company regulations will complement the ... more
- SMBC (New York, NY)
- …discipline to follow up on issues until resolved. + 10+ years of regulatory compliance experience at a broker dealer . BA/BS required. Series 7, 24, 79 ... more
- NatWest Markets (Stamford, CT)
- … **Essential:** + Experience working within a legal or compliance function of a Swap Dealer or a broker dealer . + Understanding of US regulatory ... more
- AON (Chicago, IL)
- …compliance program and written supervisory procedures of the US Broker Dealer and ensure the company's compliance with all applicable regulations and ... more
- Arena Investors LP (Jacksonville, FL)
- …at a SEC-registered investment adviser (primarily private credit exposure); . Experience with broker - dealer compliance (ideally Series 7 or Series 14 ... more
- Scotiabank (New York, NY)
- …should involve compliance testing or audit. + Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading ... more
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