- Coinbase (Madison, WI)
- …in you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment ... 15c3-5 Market Access, Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at least parts of programs. *… 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 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
- SMBC (New York, NY)
- …issues until resolved. + Must be well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer ... time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory… more
- Regions Bank (Atlanta, GA)
- …careers section of the system. **Job Description:** At Regions, the Capital Markets Compliance Analyst performs compliance tasks and deals with compliance ... Monitors legal entity and business unit activity to ensure compliance with laws, regulations, and internal procedures + May...and internal procedures + May also prepare and review compliance reports for management + May provide guidance and… more
- Robert Half Legal (Dallas, TX)
- …across the organization. * Support stakeholders by drafting, reviewing, and revising broker - dealer compliance policies and procedures. * Provide expertise ... in broker - dealer compliance , leveraging industry knowledge to maintain standards and address challenges. Requirements * Proven experience in compliance … more
- T. Rowe Price (Owings Mills, MD)
- …a difference in ways that matter to you . About this Position Reporting to the Broker / Dealer Chief Compliance Officer, the role is responsible for ensuring ... with key stakeholders across the firm including Legal and Compliance colleagues to review, interpret and implement new regulatory...of knowledge of the FINRA, SEC, MSRB and state broker dealer regulatory requirements and landscape, strong… more
- ADP (Florham Park, NJ)
- … compliance , or operations. + Minimum of 2 years of experience in a broker - dealer compliance or registration role + Strong familiarity with FINRA ... Administrator plays a critical operational and support role within the broker - dealer 's compliance department. This position ensures accurate and timely… more
- Insight Global (New York, NY)
- … Compliance Officer will report to a supervisor with the Wealth Management Broker / Dealer Compliance division. * Review marketing material for consistency ... 5 years of relevant work experience with a financial institution such as a broker / dealer . Minimum 3 years compliance experience with a broker / dealer… more
- GE Vernova (New York, NY)
- …capital markets products and services, including third-party fundraising and management. + Broker - Dealer Compliance : Coordinate and execute compliance ... obligations for regulated securities transactions arranged through a registered Broker - Dealer and Financial Industry Regulatory Authority (FINRA) member firm,… more