- Robert Half Legal (San Diego, CA)
- …A well-established financial services organization is seeking a Associate General Counsel - Broker - Dealer Regulatory Compliance to join its growing ... Description Financial Services Company Seeks Senior Attorney Focused on Broker - Dealer Compliance & FINRA Arbitrations...- dealer and investment advisory platforms, focusing on regulatory compliance and risk mitigation. + Respond… more
- BlackRock (Princeton, NJ)
- …this role** **Description** The Regulatory Engagement and Development and Broker - Dealer Compliance team oversees BlackRock's registered personnel's ... and ongoing enhancement of a robust compliance program for BlackRock's Broker - Dealer , Regulatory Engagement and Development and NFA compliance … more
- Charles Schwab (Lone Tree, CO)
- …+ Stewardship for the key deliverables and regulatory obligations of the CS&Co broker - dealer compliance program + Ownership for the broker - dealer ... of communication forums and mechanisms in support of the broker - dealer compliance program + Owner...a Compliance or Risk role. + Strong regulatory knowledge of broker - dealer standards.… more
- Vanguard (Charlotte, NC)
- …a focus on broker - dealer operations and banking-like features. Monitors regulatory developments and market trends to inform compliance strategy. + Serves ... seasoned compliance professional to lead monitoring and testing for our broker - dealer 's Cash program, which includes banking-like features such as deposits,… more
- SMBC (New York, NY)
- …Job Knowledge and Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in ... and is responsible for overseeing the management of the broker dealer 's compliance risk and...Nikko Securities Inc. **Role Objectives** + Assists in providing regulatory and compliance advice, identifying training needs,… 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 ... is hiring for a CCO of it's two US broker - dealer entities in New York, BMO Capital...and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned… 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 ... policies and procedures; + Assisting with various audits, regulatory inquires and filings; + Performing daily trade reviews… more
- Capital One (Mclean, VA)
- …motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority (FINRA) and the ... Manager, Broker Dealer Accounting Does the idea...Manager, Broker Dealer Accounting Does the idea of working with... filings (FOCUS reports, SIPC reports, etc.) + Perform regulatory net capital computation and ensure compliance … 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