- SMBC (New York, NY)
- …time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory ... organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. JD Preferred.… more
- Charles Schwab (Westlake, 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
- 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
- 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
- Coinbase (Madison, WI)
- …will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to assist the Product team ... you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment with high… more
- Huntington National Bank (Chicago, IL)
- Description Summary: The Huntington Securities, Inc. (HSI) Broker Dealer Operations Analyst 3 is responsible for supporting institutional broker dealer ... In this dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational policies and procedures. Additionally, you… more
- SMBC (New York, NY)
- …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 ... + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in US securities laws and regulations and… more
- Capital One (Richmond, VA)
- Associate Broker Dealer Risk Specialist **The Associate Risk Specialists supporting Capital One's Commercial Broker Dealers are highly motivated Risk ... **Preferred Qualifications:** + **4+ years of experience within a broker dealer registration and licensing function or similar compliance experience** +… more
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** Principal is seeking a highly motivated individual for a ** Broker Dealer Operations Associate I** position. In this role you'll provide ... within SLA. Process other administrative tasks as they relate to the Broker Dealer Administrative team. + Partner with financial professionals to get items back… 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 ... of the role including value proposition. + Manage a claims team handling broker dealer claims, including direct handling of claims as needed. + Train and develop… more