- Marex (New York, NY)
- …(http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance advisory services for ... Plan in line with below responsibilities: + Provide Compliance Advisory services to broker - dealer business lines. + Complete or assist in completing broker… more
- Robert Half Finance & Accounting (New York, NY)
- …Robert 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 Regulations/Filings, policies/procedures, personal trading… more
- SMBC (New York, NY)
- …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 ... + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in US securities laws and regulations and… more
- Mizuho Corporate Bank (New York, NY)
- …position requires wide breadth of expertise in various regulatory reporting , especially for broker dealer regulatory reports , as well as experience in managing ... Reporting Q uality A ssurance P rogram with various regulatory reports, especially broker dealer reg ulatory report s such as FOCUS, SSOI, OBS reports. In depth… more
- BMO Financial Group (New York, NY)
- Our ideal candidate has a SEC/FINRA examiner background with broker dealer experience including SEC 15c3 experience, possessing a strong understanding of ... broker dealer operations and SEC/FINRA regulations. If you have dealt with trading intricacies and have showcased a comprehensive grasp of the industry, this… more
- PNC (New York, NY)
- …the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based ... in a PNC location. Preferred locations are listed in this requisition. Responsibilities require time in the office or in the field on a regular basis. Some responsibilities may be performed remotely, at manager's discretion. Are you interested in an… more
- Broadridge Financial Solutions (New York, NY)
- …career, while helping others along the way, come join the Broadridge team. The Bank Broker Dealer Head of Strategy and Business Development is a key member of ... delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge,… 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
- Guardian Life (New York, NY)
- …Managed account implementation strategies include Strategists, UMA, SMA, Rep as PM, Multiple Strategy Proposals, Multiple Account Proposals as well as our Digital ... strategy. The Operations Specialist will intimately understand how our Portfolio Administration Technologies, Envestnet, Orion and our new digital partner, are used to facilitate a strategy, from proposal through to account investing. This individual will be… more
- MUFG (New York, NY)
- …our recruitment team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital ... directly to the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and liquidity risk management, asset liability… more