- 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
- 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
- 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
- HUB International (New York, NY)
- …Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker - Dealer : The Chief Compliance Officer, will be a highly ... HUB is one of the largest global insurance and employee benefits broker , providing a boundaryless array of business insurance, employee benefits, risk services,… more
- AIG (New York, NY)
- …the way we help customers to manage risk. Join us as a Vice President, Broker Dealer Claims to play your part in that transformation. It's an opportunity ... summary of the role including value proposition. + Manage a claims team handling broker dealer claims, including direct handling of claims as needed. + Train… more
- Guardian Life (New York, NY)
- This is an exceptional chance to join Guardian Life as a Broker - Dealer Operations Specialist and be a key player on our Park Avenue Securities team! You will ... processes, and technology + Collaborate with various internal departments including compliance , licensing, operations, and our internal clearing firm **You have** +… 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