- 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
- Robert Half Finance & Accounting (New York, NY)
- …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
- BMO Financial Group (New York, NY)
- …- dealer CCO would manage the implementation, maintenance and administration of the broker - dealer compliance programs. Broker - dealer businesses ... The BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker - dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and… more
- CIBC (New York, NY)
- …and strong work ethic Preferred Qualifications: + 5-7 years of registered US broker - dealer compliance and risk management experience + Prior experience ... Compliance Examination Plan established to ensure adherence with broker - dealer requirements and compliance with federal and self-regulatory organization… 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
- PNC (New York, NY)
- … Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based in ... efficiently to get things done **Job Description** + Manages financial, compliance , and/or operational audit reviews, including the evaluation of design and… more
- HUB International (New York, NY)
- …& Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker - Dealer : The Deputy Chief Compliance and Risk Officer, will ... HUB is one of the largest global insurance and employee benefits broker , providing a boundaryless array of business insurance, employee benefits, risk services,… more
- Marex (New York, NY)
- …and maintenance of client static data in order to improve efficiencies and Compliance reporting. + Ensuring compliance with the company's regulatory requirements ... responsibility + To report any breaches of policy to Compliance and/ or your supervisor as required + To...a regulated environment and knowledge of the risk and compliance requirements associated with this. + Bachelor's degree preferred.… more
- Guardian Life (New York, NY)
- …clients' requests. + Collaborate with various internal departments including Compliance , licensing, operations, internal clearing firm, and 3rd Party ... Sponsors/Envestnet + Be responsible for the day-to-day managed account operations, escalations, and resolution of issues - working with internal team to process all items within queues daily. **You have** + 3 or more years of extensive industry experience +… more
- Guardian Life (New York, NY)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, experience at ... standards impacting Guardian's retail wealth management business, including its affiliated broker - dealer and investment adviser entities. + Assist with the… more