- 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
- Zions Bancorporation (Salt Lake City, UT)
- …to business line management in a professional manner. + Support the broker dealer compliance program and officer as needed. + Interact with business ... bring the opportunity. We are currently seeking an Investment Compliance Officer within the Market, Liquidity, Wealth...compliance and risk topics pertinent to the institutional broker dealer , bank dealer and… 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
- T. Rowe Price (Owings Mills, MD)
- …Brokerage. + Provides support to the Director, North America Compliance , Broker Dealer and Chief Compliance Officer of TRPIS, as needed. + Attends ... subject matter expert ("SME") for the Director, North America Compliance , Broker Dealer in monitoring...+ Ability to draft complex documents for the Chief Compliance Officer 's review + Demonstrates willingness to… 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 . + Strong knowledge in US… 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
- 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
- Wells Fargo (West Des Moines, IA)
- …Finance & Accounting activities including but not limited to COSO/SOX/FDICIA/ Broker - dealer reporting requirements, legal entity accounting, recovery/resolution ... training, military experience, education **Desired Qualifications:** + Experience testing broker - dealer financial regulatory reporting requirements + Knowledge… 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
- 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
- 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 ... product control under GAAP and IFRS. + Act 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
- 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 (Frisco, TX)
- 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