- 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,... professional to the team led by the Chief Compliance Officer . The selected candidates will be… more
- 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)
- … Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer . This role will support three institutional ... Senior Manager will work independently from the CBD Chief Compliance Officer to interact with and advise... Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of… more
- SMBC (New York, NY)
- …advisory function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief ... Compliance Officer as either a member or observer of various...and Skills** + 7-10+ years of regulatory and/or advisory compliance experience at a broker dealer… more
- NatWest Markets (Stamford, CT)
- Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer Stamford,United States Permanent Full Time \#R-00244248 Share: ... (https://jobs.natwestgroup.com/jobs/15076523-senior-monitoring-and-testing- compliance -assurance- officer -swap- dealer /apply?tm\_src=0) Our people work differently depending on… 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 ... Compliance Officer as either a member or observer of various...+ Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… 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 ... Compliance Officer as either a member or observer of various...+ Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US… more
- Truist (Atlanta, GA)
- …with the Enterprise Compliance Management Policy and Framework for the Institutional Broker Dealer . **LOCATION:** **We are currently in the office 3 days, ... to time. 1. Interpret new or existing laws, rules and regulations for an Institutional Broker Dealer that are complex and multifaceted and use that knowledge as… more
- First Horizon Bank (Memphis, TN)
- …+ Bachelors Degree in Accounting, Finance or Business + Minimum 5 yrs. experience in broker - dealer Compliance or equivalent in legal, compliance or audit ... **Description** FHN Financial is seeking an experienced, licensed Compliance Officer to provide primary ...a broker - dealer and a bank dealer and offer general support to the compliance… more
- SMBC (Jersey City, NJ)
- …scope of this function will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and ... SMBC Group is seeking a Vice President for the Compliance Risk Assessment team ("CRA team") within the ...focus of this role will be on the US broker dealer and US swap dealer… more
- Marex (New York, NY)
- …(http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Executive Compliance Officer - Solutions Advisory position will ... + At least 10 years of securities advisory experience. Knowledge of broker - dealer activities and requirements. + Strong knowledge of applicable securities… more
- Securities and Exchange Commission (Chicago, IL)
- …Regional Director, plans and establishes staffing needs, work streams and policy for the Broker Dealer Examination Program of the Division of Examinations in the ... job announcement has been extended to December 2, 2024 The Senior Officer -Associate Regional Director position is in the Chicago Regional Office-Division of… more
- Securities and Exchange Commission (Chicago, IL)
- …Regional Director, plans and establishes staffing needs, work streams and policy for the Broker Dealer Examination Program of the Division of Examinations in the ... job announcement has been extended to December 2, 2024 The Senior Officer -Associate Regional Director position is in the Chicago Regional Office-Division of… more
- SMBC (New York, NY)
- …to Fixed Income, Equities, Futures and Credit Derivatives + Functional knowledge of Broker / Dealer and Market Making related compliance and risk management ... Summary** The Nikko Securities America, Inc. middle/back office Business Control Officer is a business-aligned change agent and risk management individual… more
- PNC (NC)
- …Regional Supervision Risk Officer (RSO) reports into PNC Investments, which is a broker - dealer subsidiary of PNC Bank. This role works with Compliance , ... in firm policy, procedure and the regulatory environment. As a Regional Supervision Risk Officer within PNC Investments, you may be based in a remote location. This… more
- Citigroup (San Antonio, TX)
- …a plus. 5+ years' experience in financial services. + Knowledge of Bank and broker - dealer business, regulatory requirements and related policy. + Ability to work ... The Business Risk Officer role in Citi Global Wealth is a...group of support and control functions including Business Risk, Compliance , Operational Risk, Legal and Internal Audit. **Responsibilities:** +… more
- Neuberger Berman (New York, NY)
- …24 (or 9/10) licenses required. + 3-5 years of investment advisory or broker - dealer experience, ideally with background in supervisory principal activities. + ... focus on identification, mitigation and resolution of alerts related to IPS Compliance (including but not limited to deviation from asset allocation/risk profiles,… more
- Scotiabank (New York, NY)
- …and broker -dealers, and assist in successfully executing banking and broker - dealer -related audits, regulatory matters, and strategic initiatives. + Lead and ... control under GAAP and IFRS. + Act primarily as Officer in Charge (OIC) for assigned projects, processes, and...regionally and globally to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships… more
- Cleveland Research Company (Cleveland, OH)
- …Officer in identifying and mitigating potential conflicts and risks associated with a Broker Dealer firm. Our Compliance Department develops and maintains ... Compliance Associate Cleveland Research Company is an independent...Cleveland Research Company, LLC, an equity research firm and Broker Dealer registered in Cleveland, Ohio, is… more
- Vanguard (Malvern, PA)
- … compliance program for Vanguard's investment advisor business. Working for the Chief Compliance Officer , this compliance leader, directly and through a ... and retail investment advice / wealth management businesses. Broad knowledge of broker - dealer , banking, and trust company regulations will complement the… more