- 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 ... is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within...+ M&T findings or recommendations; and/or + Observations by Compliance officer or business staff member +… more
- HUB International (New York, NY)
- …& Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker - Dealer : The Chief Compliance Officer , will be a highly visible, ... and enhancing the SEC compliance infrastructure. **Job Summary:** The **Chief Compliance Officer ** **for Retirement and Private Wealth** will be responsible… 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 ... Compliance Officer as either a member or observer of various...Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer… more
- Insight Global (New York, NY)
- … Officer will report to a supervisor with the Wealth Management Broker / Dealer Compliance division. * Review marketing material for consistency with ... Job Description The Compliance Officer will work closely with...work experience with a financial institution such as a broker / dealer . Minimum 3 years compliance … more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS US Compliance ... businesses, working with regional teams across the globe. This Compliance Officer will also support other aspects...or more years of experience with a registered US broker dealer , swap dealer , Global… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance assists in ... + 2 years of experience with a registered US broker dealer or regulator. + Problem solving...and ability to work independently. **General Job Posting:** The Compliance Officer supports consumer regulatory compliance… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR-INVESTMENT ADVISORY* *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance oversight and ... Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser/ and the OCC. * For Wealth… more
- Raymond James Financial, Inc. (New York, NY)
- …and an understanding of the market standard risk management practices . Broker - dealer supervisory frameworks, retail investment platforms, and UHNW product risks ... of fifteen (15) years of financial services experience required . Experience in broker - dealer or wealth management firms preferred, especially with exposure to… more
- GE Vernova (New York, NY)
- …capital markets products and services, including third-party fundraising and management. + Broker - Dealer Compliance : Coordinate and execute compliance ... will report to the Enterprise Development, Growth & Excellence ("EDGE") Chief Compliance Officer in New York, NY. **Job Description** **Essential… more
- TD Bank (New York, NY)
- …and certain global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $145,000 - $185,000 USD TD is...+ 7 years of experience with a registered US broker dealer , swap dealer , Global… more