- Siebert Williams Shank (New York, NY)
- …platform, and a sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA) ... national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and...all activities and duties are carried out in full compliance with regulatory requirements and internal policies and procedures… more
- Navy Federal Credit Union (Vacaville, CA)
- …outcomes + Ability to obtain appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm + Experience in business ... an internal pipeline for smaller dollar volume, and less complex, accounts in compliance with Navy Federal and NFIS policies and procedures + Establish, maintain,… more
- Robert Half Legal (Philadelphia, PA)
- …and regulations, including those related to private placements, investment advisors, and broker - dealer activities. * Ability to thrive in a fast-paced, ... as well as laws and regulations governing investment funds, advisers, and broker -dealers. * General knowledge of legal structuring and tax issues associated with… more
- Navy Federal Credit Union (San Diego, CA)
- …outcomes + Ability to obtain appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm + Experience in business ... offerings. + Develop an internal pipeline for smaller dollar volume accounts in compliance with Navy Federal and NFIS policies and procedures. + Establish, maintain,… more
- BMO Financial Group (New York, NY)
- …activities, risk taxonomies and applicable regulations surrounding them. + Knowledge of the Broker Dealer and Banking Regulations, which include but not limited ... and operating the First Line of Defense's Operating Group Compliance Program (OGCP). The OGCP is the system of...First Line of Defense to achieve and sustain risk-based compliance with applicable laws and regulatory requirements, and to… more
- Wells Fargo (St. Louis, MO)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... responsible for direct support of branches and their responsibilities for remote compliance supervision of Private Client Group (PCG) and Wealth Brokerage Services,… more
- Wells Fargo (New York, NY)
- …a focus on margin and Prime Brokerage accounts + Strong knowledge of Broker - Dealer Operations functions with a preference for margin regulations and frameworks, ... this role, you will:** + Monitor client accounts for compliance with Regulatory (Reg. T, FINRA 4210, Reg U)...strong client service orientation + Collaborate with Sales, Trading, Compliance , IT, Operations, and Middle Office teams to support… more
- TD Bank (New York, NY)
- …and experience in AML compliance , preferably including investment banking / broker - dealer experience at a large financial institution. + Excellent verbal and ... financial crime risk. This involves providing guidance on regulatory compliance , close partnership with business and legal, and operationalizing requirements… more
- Wells Fargo (Raleigh, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... Brokerage Support team, and Client Associates in various aspects of operations, compliance , and technology + Collaborate with the Brokerage Support Manager and other… more
- Wells Fargo (San Francisco, CA)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more