- 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
- Siebert Williams Shank (New York, NY)
- …other regulatory licenses desired * At least 7 years working for a broker - dealer , with at least 5 years of compliance experience * Experience with fixed ... & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker / dealer ) is seeking to add a knowledgeable,...compliance professional to the team led by the Chief Compliance Officer. The selected candidates will… 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 ... and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed income futures activities. + Strong knowledge… 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
- 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
- Broadridge Financial Solutions (Newark, NJ)
- …etc) + 10 years of experience in a risk mgmt. within a financial services or broker dealer environment + Experience with regulatory agencies such as FINRA, SEC + ... and action plans. + Conduct regular risk assessments and audits to ensure compliance with policies, procedures, and regulations. + Chief liaison for BPO… more
- Citigroup (New York, NY)
- …alongside others responsible for providing support on oversight and governance of the US broker - dealer chain legal entities. This role reports into the Chief ... on the development and implementation of non-financial risk monitoring program ( compliance risk, operational risk, and reputation risks), in conjunction with… more