- Marex (New York, NY)
- …Serve as a subject matter expert ("SME") on products, regulatory reporting, and broker - dealer operations by maintaining proficient knowledge of applicable ... Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance...achieved. + Work with business partners (ie, Surveillance, IT, Operations etc.) to develop and enhance systems, tools, reports,… 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 ... and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented...and applicability to SMBC Nikko Securities Inc. and affiliate operations . + Ability to manage multiple assignments and build… more
- BMO Financial Group (New York, NY)
- … dealer experience including SEC 15c3 experience, possessing a strong understanding of broker dealer operations and SEC/FINRA regulations. If you have ... dealt with trading intricacies and have showcased a comprehensive grasp of the industry, this might be the perfect opportunity for you. Develops or maintains an effective financial governance and controls framework that defines the ways and methods governance… more
- Guardian Life (New York, NY)
- The Operations Specialist will serve as the expert on all aspects of our managed account model management, trading platform, annuity operations as well as all ... Multiple Account Proposals as well as our Digital strategy. The Operations Specialist will intimately understand how our Portfolio Administration Technologies,… more
- Marex (New York, NY)
- …+ Serve as a subject matter expert on products, regulatory reporting, and broker - dealer operations by maintaining proficient knowledge of applicable ... below responsibilities: + Provide Compliance Advisory services to US Broker Dealer business lines. + Complete or...achieved. + Work with business partners (ie, Surveillance, IT, Operations etc.) to develop and enhance systems, tools, reports,… more
- SolomonEdwards (Albany, NY)
- …Oversight Consultant to join a leading national financial services organization with significant broker / dealer operations . This hands-on role will lead the ... apply guidelines in practice. * Experience in: o First line operations (1LOD) for broker / dealer or non-deposit investment products (ideal), and/or o Second… more
- Raymond James Financial, Inc. (New York, NY)
- …as a subject matter expert on matters pertaining to regulatory reporting and broker dealer operations by maintaining proficient knowledge of applicable ... the operation of compliance functions for Regulatory Reporting and RJA Operations departments. Manages associates and division of responsibilities within the… more
- Guardian Life (New York, NY)
- …on department projects and ongoing recruitment strategy **You have** + 3-5 years of broker - dealer operations or service experience + Ability to create strong ... and home office personnel + Field inquiries related to transition and broker dealer acclimation + Advocate for & teach colleagues, agency partners, and financial… more
- Kestra Financial (Kings Park, NY)
- …experience in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, and basic ... and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance… more
- JPMorgan Chase (New York, NY)
- …FINRA rules, related to the supervision and risk management of credit exposures in broker - dealer operations ; ensuring compliance with Title VII of the ... America Legal Entities, especially those acting as Future Commission Merchant and Swap Dealer in order to assess impact to Credit Risk; ensuring compliance with CFTC… more