- 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)
- …Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support ... Advisor Senior Manager will work independently from the CBD Chief Compliance Officer to interact with and... Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of… more
- SMBC (New York, NY)
- …and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief Compliance Officer as either ... **Qualifications and Skills** + 7-10+ years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in US securities… more
- SMBC (New York, NY)
- …and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance Officer as either ... Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US securities laws, rules and regulations and… more
- SMBC (New York, NY)
- …and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance Officer as either ... and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed income futures activities. + Strong knowledge… more
- OTC Markets Group Inc (New York, NY)
- …Director of HR and Chief of Staff + Partner HR team on compliance efforts related to our London office, including filings with the Pension Regulator, preparing ... enrollment. + Prepare any applicable reporting for and ensure compliance of federal, state and local laws and regulations...by OTC Link LLC, a FINRA and SEC registered broker - dealer , member SIPC. To learn more about… more
- Bank of America (New York, NY)
- …engagement of Liquidity Risk & LOB team and approval via senior executives and broker - dealer Board of Directors, as appropriate. Monitor and notify or escalate ... to recognize all risk categories including credit, market, operational and compliance and bringing appropriate risk expertise as needed. Accountable for conducting… more