- 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 ... Compliance , IT Risk and Training committees. The Compliance Advisory Associate role assists in managing...Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer… more
- Capital One (New York, NY)
- Associate Broker Dealer Risk...**4+ years of experience within a broker dealer registration and licensing function or similar compliance ... **The Associate Risk Specialists supporting Capital One's Commercial Broker Dealers are highly motivated Risk Management professionals with excellent… 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 ... Responsibilities** + Monitors legal entity and business unit activity to ensure compliance with laws, regulations, and internal procedures + May also prepare and… more
- SMBC (New York, NY)
- …Assist in preparing high quality materials for Risk Committees (Tier 1 and 2), Swap Dealer and Broker Dealer oversight forums - Help review policies, ... Coordination Team across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role… more
- PNC (Pittsburgh, PA)
- …will be based in Pittsburgh, PA. Position Overview: The Capital Markets Finance - Broker Dealer Accounting group supports a high growth and strategic business ... joining a team of finance professionals which includes individuals with CPAs and broker dealer licenses. PNCCM underwrites, deals, and trades in corporate… more
- TD Bank (New York, NY)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $135,000 USD TD is...or more years of experience with a registered US broker dealer or regulator. + JD desirable… more
- Cleveland Research Company (Cleveland, OH)
- … Officer in identifying and mitigating potential conflicts and risks associated with a Broker Dealer firm. Our Compliance Department develops and maintains ... Compliance Associate Cleveland Research Company is...Cleveland Research Company, LLC, an equity research firm and Broker Dealer registered in Cleveland, Ohio, is… more
- SMBC (New York, NY)
- …role within the Financial Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects of client development, new ... the origination and execution of transactions with Banks and Broker Dealer clients + Work closely across...of general elements of credit risk as well as legal/ compliance related to Bank and Broker Dealers… more
- Foresters Financial Services (Silver Spring, MD)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Sales Support Associate Sales Silver Spring , Maryland Apply Description...Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… 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 ... plays a critical operational and support role within the broker - dealer 's compliance department. This position...platform by associates. + Obtain approval from the Chief Compliance Officer for associate financial accounts and… more
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