- Marex (New York, NY)
- …of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance advisory services for Equities, Fixed Income, ... Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity,...in line with below responsibilities: + Provide Compliance Advisory services to broker - dealer business lines.… more
- TEKsystems (New York, NY)
- …banking compliance, with a strong focus on regulatory risk assessments and institutional financial services . - Regs Focused on: Securities Exchange Act of 1934, ... interest of retail customers when making recommendation Skills RCSA, Broker Dealer Additional Skills & Qualifications -...and Asia. As an industry leader in Full-Stack Technology Services , Talent Services , and real-world application, we… 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 ... A ssurance P rogram with various regulatory reports, especially broker dealer reg ulatory report s such...financial accounting including relevant US GAAP for the financial services industry + Experience in project… more
- SMBC (New York, NY)
- … dealer . + A solid foundation in US securities laws and regulations and broker dealer operations, products and services . + Ability to communicate this ... 400-year history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities, credit...and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented… more
- Robert Half Finance & Accounting (New York, NY)
- Description Robert Half Financial Services is recruiting for a Compliance role for an International Broker Dealer firm located in midtown Manhattan, New ... Our client requires 4+ years of Compliance experience at a Broker Dealer or an RIA, with knowledge of FINRA Regulations/Filings, policies/procedures, personal… 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...perfect opportunity for you. Develops or maintains an effective financial governance and controls framework that defines the ways… more
- PNC (New York, NY)
- …the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based ... of industry leaders who provide independent, objective assurance and consulting services designed to add value and recommend improvement to the organization's… 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 ... Strategy initiatives in a medium to larger sized organization within the Financial Services , Technology, or Fin-Tech industries + Demonstrated experience… more
- Kestra Financial (Kings Park, NY)
- …financial services industry allowing for a good understanding of broker / dealer operations and financial services products, and basic financial ... Summary The Client Service Associate reports to the Financial ...keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account… more
- Marex (New York, NY)
- Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to ... Group provides comprehensive breadth and depth of coverage across four core services : Market Making, Clearing, Hedging and Investment Solutions and Agency and… more