- Marex (New York, NY)
- …(http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance advisory services for ... Plan in line with below responsibilities: + Provide Compliance Advisory services to broker - dealer business lines. + Complete or assist in completing broker… more
- Charles Schwab (Westlake, TX)
- …5-7+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience and/or Big 4 Accounting ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit… more
- Charles Schwab (Austin, TX)
- …5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking a Senior Auditor… more
- Capital One (Mclean, VA)
- Manager, Broker Dealer Accounting Does the idea of working with professional, highly trained accountants inspire you? Are you an accounting professional with a ... highly motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority (FINRA) and… more
- Robert Half Legal (San Diego, CA)
- Description Financial Services Company Seeks Senior Attorney Focused on Broker - Dealer Compliance & FINRA Arbitrations About Firm & Position: A well-established ... financial services organization is seeking a Associate General Counsel - Broker - Dealer Regulatory Compliance to join its growing corporate legal department. This… more
- Vanguard (Charlotte, NC)
- …a seasoned compliance professional to lead monitoring and testing for our broker - dealer 's Cash program, which includes banking-like features such as deposits, ... of the investment and financial services industry, with a focus on broker - dealer operations and banking-like features. Monitors regulatory developments and… more
- Robert Half Finance & Accounting (New York, NY)
- …Robert Half 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
- Vanguard (Scottsdale, AZ)
- Broker Dealer EDJ Hybrid Sales Executive Generates new relationships and broadens existing relationships with distributors, advisors, and other intermediaries in ... the Broker Dealer channel through predominantly electronic and telephone communication (75-80%) as well as some field sales activity (20-25%) for medium to high… more
- BlackRock (Princeton, NJ)
- …maintenance and implementation of the Firm's policies & procedures related to Broker Dealer policies, Training Materials, and Certifications + Various on-going ... this role** **Description** The Regulatory Engagement and Development and Broker - Dealer Compliance team oversees BlackRock's registered personnel's compliance… more
- Principal Financial Group (Des Moines, IA)
- …We're seeking an accomplished leader to oversee our Individual Solutions RIA and Broker - Dealer Supervisory Program. This high-impact role reports directly to the ... of the firm's registered home office supervision program for both broker - dealer and RIA channels. + **Drive Compliance Excellence** : Oversee surveillance… more