- M&T Bank (Cleveland, OH)
- …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)
- …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
- First National Bank of Omaha (Omaha, NE)
- …and regulatory training. The ideal candidate will have an established understanding of broker - dealer and RIA regulations and compliance requirements **About ... to assisting in and supporting the formulation of good regulation . Assist the Co- Chief Compliance Officers on projects and additional duties as required **The… 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
- Citizens (OH)
- …management Supervision. Experience in developing Private Wealth risk and compliance programs for dual-registered Broker - Dealer /Registered Investment ... or Compliance + 6+ years' Risk and Compliance experience with advanced Broker - Dealer ,...management products and services, including direct support to the Chief Fiduciary and Investment Officer of the firm. +… 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
- Bank of America (Charlotte, NC)
- …engagement of Liquidity Risk & LOB team and approval via senior executives and broker - dealer Board of Directors, as appropriate. Monitor and notify or escalate ... risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief...negotiating across CFO partners, as well as EFR organization, Compliance & Op Risk, and other verticals (GBAM and… more