- Coinbase (Albany, NY)
- …in you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment ... 15c3-5 Market Access, Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at least parts of programs. *… 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 ... and Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in US securities… more
- Insight Global (New York, NY)
- …For $68/hr, this role serves as a senior regulatory and risk partner to Broker ‑ Dealer Compliance leadership and the businesses they support, translating ... into practical, business‑enabling outcomes. The individual operates across front‑office, compliance , and legal teams to interpret regulatory developments, enforcement… more
- SMBC (New York, NY)
- …issues until resolved. + Must be well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer ... time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory… more
- Insight Global (New York, NY)
- … Compliance Officer will report to a supervisor with the Wealth Management Broker / Dealer Compliance division. * Review marketing material for consistency ... 5 years of relevant work experience with a financial institution such as a broker / dealer . Minimum 3 years compliance experience with a broker / dealer… more
- GE Vernova (New York, NY)
- …capital markets products and services, including third-party fundraising and management. + Broker - Dealer Compliance : Coordinate and execute compliance ... obligations for regulated securities transactions arranged through a registered Broker - Dealer and Financial Industry Regulatory Authority (FINRA) member firm,… more
- Capital One (New York, NY)
- …**Preferred Qualifications:** + **4+ years of experience within a broker dealer registration and licensing function or similar compliance experience** + **3+ ... Associate Broker Dealer Risk Specialist **The Associate...and mitigate potential risks to the Company using various compliance surveillance tools and methods. The Associate Risk Specialist's… more
- Neuberger Berman (New York, NY)
- …for the firm **Requirements:** + 1 - 5 years of investment advisory or broker - dealer compliance experience + Bachelor's degree required + Experience with ... Neuberger is seeking an Analyst to join the Compliance Team in New York. This person will...New York. This person will report into the Chief Compliance Officer - Central Compliance . In this… more
- Raymond James Financial, Inc. (New York, NY)
- …**Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker / dealer compliance and/or branch exams + Rules and ... all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and...and adverse trends are identified and escalated + Provide compliance support to business partners, as needed + Maintain… more
- TD Bank (New York, NY)
- …people manager, leading a compliance audit team + Experience auditing securities, broker - dealer and/or wealth compliance + Excellent oral and written ... regulations governing the banking industry that impact assigned area, specifically securities, broker - dealer , and/or wealth compliance + Advanced functional… more
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