- 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
- M&T Bank (Boston, MA)
- …to senior management on compliance matters. **Supervisory/Managerial Responsibilities:** Broker Dealer Compliance team. **Education and Experience ... financial services industry experience with significant experience in senior level roles in broker dealer compliance or in lieu of degree a combined minimum… 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
- 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 (Charlotte, NC)
- …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
- Marex (New York, NY)
- …including two broker dealers, swap dealer , and FCM. + Work with Compliance advisory teams (FCM, Broker Dealer , Solutions, Central Compliance ) to ... visit www.marex.com (http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Compliance Officer - Policies and Procedures of… 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
- Citigroup (Tampa, FL)
- The Broker Dealer Risk Officer is responsible for the risk life-cycle of these third party relationships for the Market's business. This role requires in ... party relationship across all stages of control oversight. The Broker Dealer Risk Officer will...and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… 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
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... of compliance experience, including experience providing advisory support to a broker - dealer equities sales and trading business. + Knowledge of relevant SEC… 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
- 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
- Ankura (NY)
- …risk assessments, policies, procedures, internal controls, and systems processes; + Prepare compliance reports for Compliance Officer , Senior Management, ... companies, third-party payment processers, consumer collections agencies and securities/brokerage [ broker dealer ] + Working knowledge/experience with virtual… more
- TD Bank (New York, NY)
- …similar degree, required. + 7 or more years of experience in, with a registered US broker dealer or regulator, Compliance testing a plus. + JD desirable but ... you more specific details for this role **Job Description:** **Preferred Qualifications:** This Compliance Officer is a key member of the TDS US Compliance … more
- Nuveen Investments (Chicago, IL)
- This position reports to the VP, Compliance Officer who has oversight responsibilities for Nuveen Securities, LLC, a registered US broker - dealer , which ... will be responsible for supporting aspects of the Nuveen Securities Compliance Program relating to distribution activities and expected to provide top-flight… more
- Nuveen Investments (Frisco, TX)
- …enhancements in connection with business transformation initiatives. + Assist the VP, Compliance Officer with oversight of complaints process including intake, ... This role provides Compliance support to Nuveen Global Client Services, with...the securities industry, working for an investment adviser or broker - dealer , and prior experience supporting client services… more