- 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
- Citigroup (New York, NY)
- …country level. This is a role focusing on coordinating the assurance coverage of the Broker Dealer - Citi Global Markets Inc. This role will include producing ... and manage a budget. + Manage coverage of US broker dealer entity (CGMI) by working collaboratively...+ Coordinating with Head of Internal Audit and Markets Chief Auditor for presentation of key management information related… more
- JPMorgan Chase (New York, NY)
- …basis to line of business and control partners. **Job Responsibilities** + Lead compliance contact to the Outsourced Chief Investment Office (OCIO) team ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...marketed through a bank, registered investment adviser (RIA), or broker - dealer , and related SEC, OCC and FINRA… more
- OTC Markets Group Inc (New York, NY)
- …each an SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker - dealer , member SIPC. To learn more about how we create better informed and ... enrollment. + Prepare any applicable reporting for and ensure compliance of federal, state and local laws and regulations...and recommend appropriate changes to Director of HR and Chief of Staff + Partner with HR team to… more