- Charles Schwab (Lone Tree, CO)
- …+ Development and facilitation of communication forums and mechanisms in support of the broker - dealer compliance program + Owner and author of requisite ... + Stewardship for the key deliverables and regulatory obligations of the CS&Co broker - dealer compliance program + Ownership for the broker - dealer… more
- BlackRock (Princeton, NJ)
- **About this role** **Description** The Regulatory Engagement and Development and Broker - Dealer Compliance team oversees BlackRock's registered personnel's ... the overall maintenance and ongoing enhancement of a robust compliance program for BlackRock's Broker - Dealer , Regulatory Engagement and Development and NFA … 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 ... and Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in US securities… more
- Robert Half Finance & Accounting (New York, NY)
- …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
- BMO Financial Group (New York, NY)
- …- dealer CCO would manage the implementation, maintenance and administration of the broker - dealer compliance programs. Broker - dealer businesses ... The BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker - dealer entities in New York, BMO Capital Markets Corp (BMOCMC) 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 ... financial services organization is seeking a Associate General Counsel - Broker - Dealer Regulatory Compliance to join its growing corporate legal… more
- CIBC (New York, NY)
- …and strong work ethic Preferred Qualifications: + 5-7 years of registered US broker - dealer compliance and risk management experience + Prior experience ... Compliance Examination Plan established to ensure adherence with broker - dealer requirements and compliance with federal and self-regulatory organization… more
- Aegon Asset Management (Cedar Rapids, IA)
- Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We ... For more information, visit transamerica.com . Job Description Summary The Intermediate Compliance Analyst plays a crucial role in mitigating legal exposure and risk… more
- Arena Investors LP (Jacksonville, FL)
- …at a SEC-registered investment adviser (primarily private credit exposure); . Experience with broker - dealer compliance (ideally Series 7 or Series 14 ... policies and procedures; . Administration of firm (Investment Adviser and Broker - Dealer ) annual compliance review (testing and monitoring); . Conflicts of… more
- Vanguard (Malvern, PA)
- …To support its growing and evolving service offerings, Vanguard seeks a highly skilled broker - dealer compliance professional to lead strategic compliance ... with building, maintaining, and enhancing an evergreen and comprehensive compliance program for Vanguard's broker - dealer ...evergreen and comprehensive compliance program for Vanguard's broker - dealer business. Working for the Chief … more