- Charles Schwab (Lone Tree, CO)
- …enhancing, and maintaining the Compliance Program for the Charles Schwab & Co Broker -Dealer, also known as CS&Co. CS&Co stands as one of the largest broker ... facilitation of communication forums and mechanisms in support of the broker -dealer compliance program + Owner and author of requisite reporting and… more
- BlackRock (Princeton, NJ)
- **About this role** **Description** The Regulatory Engagement and Development and Broker -Dealer Compliance team oversees BlackRock's registered personnel's ... support in the overall maintenance and ongoing enhancement of a robust compliance program for BlackRock's Broker -Dealer, Regulatory Engagement and Development… 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 ... and Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer. + A solid foundation in US securities laws and… more
- Robert Half Finance & Accounting (New York, NY)
- Description Robert Half 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… 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 include. but ... 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 Clearpool… 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 ... services organization is seeking a Associate General Counsel - Broker -Dealer Regulatory Compliance to join its growing corporate legal department. This position… 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
- CIBC (New York, NY)
- …US Compliance Examination Plan established to ensure adherence with broker -dealer requirements and compliance with federal and self-regulatory organization ... related laws and regulations + Understanding of the inherent compliance issues facing broker -dealers + Excellent verbal and writing skills + Strong interpersonal… more
- Arena Investors LP (Jacksonville, FL)
- … policies and procedures; . Administration of firm (Investment Adviser and Broker -Dealer) annual compliance review (testing and monitoring); . Conflicts of ... a SEC-registered investment adviser (primarily private credit exposure); . Experience with broker -dealer compliance (ideally Series 7 or Series 14 licensed); .… more
- Vanguard (Malvern, PA)
- …its growing and evolving service offerings, Vanguard seeks a highly skilled broker -dealer compliance professional to lead strategic compliance activities ... is charged with building, maintaining, and enhancing an evergreen and comprehensive compliance program for Vanguard's broker -dealer business. Working for the… more
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