- 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
- 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
- Scotiabank (New York, NY)
- …should involve compliance testing or audit. + Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading ... 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 ... more
- Atria Wealth Solutions (Dublin, CA)
- …of all required Credit Union compliance training and those mandated by the broker - dealer . + Serve as a liaison between Patelco Financial Solutions and other ... 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
- Santander US (New York, NY)
- Regulatory Examination Management, Compliance Manager ED New York, United States of America USA Job Function Description: The ED, Regulatory Examination ... more
- Robert Half Finance & Accounting (New York, NY)
- Description Our client, a well-established and highly successful Broker Dealer firm, is seeking a skilled Compliance Manager to join their team. This key ... more
- ADP (Salem, NH)
- …advisors as well as high volume 401(k) centric advisors aligned to top broker dealer relationships across the industry. You will answer day-to-day inquiries ... more
- Scotiabank (New York, NY)
- …Supplemental Reporting, FR Y-15, and other Fed reports. + Assist the Broker Dealer Regulatory Reporting team in ensuring compliance with Broker Dealer ... more
- Equitable (Williamsville, NY)
- Regional Compliance Manager (Willing to Obtain Series 24) ( 240000P6 ) **Primary Location** : UNITED STATES-NY-Williamsville **Other Locations** : UNITED ... more
- Capital One (Mclean, VA)
- …highly motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority (FINRA) ... more
- Scotiabank (New York, NY)
- Senior Manager , Markets Compliance Officer **Requisition ID:** 219504 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range shown is a ... more
- Charles Schwab (Lone Tree, CO)
- …they are assigned to prepare and review, and this position reports to a Team Manager , IT Audits and SOX Compliance . This is an individual contributor role. This ... more
- JPMorgan Chase (Plano, TX)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker - dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... more
- Atria Wealth Solutions (King, NC)
- …the rules and regulations set forth by the credit union, FINRA, SEC and the broker / dealer . + Accountable for meeting annual business plan and production goals. + ... more
- Citigroup (Tampa, FL)
- …day-to-day processes of intake/assignment/close out of investment complaints for a retail broker dealer /RIA and insurance agency business; coordination of the ... more
- Deloitte (Morristown, NJ)
- …deep understanding of tradeable products and their lifecycle on exchange operations. Broker - Dealer Solutions: Oversee the implementation and optimization of ... more
- BMO Financial Group (New York, NY)
- … Compliance team in New York with a focus on FINRA and SEC broker - dealer requirements and corresponding oversight. We are looking for someone to work closely ... more
- CIBC (Chicago, IL)
- …expectations in the areas of financial crimes, consumer protection, safety and soundness, broker dealer and wealth management + Prepare or review meaningful, ... more
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