- Aegon Asset Management (Cedar Rapids, IA)
- …Summary The Intermediate Compliance Analyst plays a crucial role in mitigating legal exposure and risk to the organization by enforcing company policies, procedures, ... Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential of leveraging the talents of a diverse workforce. We embrace an environment… more
- Charles Schwab (Westlake, TX)
- …efficiency of governance processes, risk management, and internal controls. The Broker -Dealer/Asset Management enterprise team is seeking an Internal Audit Manager. ... The Broker -Dealer/Asset Management team provides internal audit coverage of the...and compliance functions for Schwab's registered domestic and international broker -dealers and registered retail and institutional investment advisors. The… more
- Charles Schwab (Westlake, TX)
- …improve the efficiency of governance processes, risk management, and internal controls. The Broker Dealer Asset Management (BDAM) Audit Team is seeking a Senior IT ... Auditor (Senior Specialist, Internal Audit - Technology is our internal title) primarily responsible for audit activities covering BDAM focused on key application risks and controls. Application audits focus on automated functionality and data integrity that… more
- Vanguard (Charlotte, NC)
- …a seasoned compliance professional to lead monitoring and testing for our broker -dealer's Cash program, which includes banking-like features such as deposits, money ... the investment and financial services industry, with a focus on broker -dealer operations and banking-like features. Monitors regulatory developments and market… more
- Robert Half Finance & Accounting (New York, NY)
- …Half Financial Services is recruiting for a Compliance role for an International Broker Dealer firm located in midtown Manhattan, New York. Our client requires 4+ ... years of Compliance experience at a Broker Dealer or an RIA, with knowledge of FINRA...Requirements: + 4+ years of Compliance experience at a Broker Dealer or an RIA + Knowledge of FINRA… more
- BlackRock (Princeton, NJ)
- …this role** **Description** The Regulatory Engagement and Development and Broker -Dealer Compliance team oversees BlackRock's registered personnel's compliance with ... and ongoing enhancement of a robust compliance program for BlackRock's Broker -Dealer, Regulatory Engagement and Development and NFA compliance programs, and other… more
- Marex (New York, NY)
- …Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance advisory services for Equities, Fixed ... in line with below responsibilities: + Provide Compliance Advisory services to broker -dealer business lines. + Complete or assist in completing broker -dealer… more
- Marex (New York, NY)
- …+ Full coordination and collection of client documentation and requirements to facilitate KYC/AML review and approval. + Ensure that appropriate CDD / KYC and AML ... checks are carried out on all new customers in accordance with local regulatory requirements and Group standards and procedures + Communicate with brokers, sales, and other support & control functions on necessary account documentation and deficiencies. + Data… more
- Charles Schwab (Austin, TX)
- …efficiency of governance processes, risk management, and internal controls. The Broker -Dealer/Asset Management enterprise team is seeking a Senior Auditor (Senior ... Specialist). The Broker -Dealer/Asset Management team provides internal audit coverage of the business process activities and compliance functions for Schwab's… more
- SMBC (New York, NY)
- …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 ... years of regulatory and/or advisory compliance experience at a broker dealer. + A solid foundation in US securities...solid foundation in US securities laws and regulations and broker dealer operations, products and services. + Ability to… more