- 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 ... is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within...+ M&T findings or recommendations; and/or + Observations by Compliance officer or business staff member +… 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 ... Compliance Officer as either a member or observer of various...Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer… more
- Insight Global (New York, NY)
- … Officer will report to a supervisor with the Wealth Management Broker / Dealer Compliance division. * Review marketing material for consistency with ... Job Description The Compliance Officer will work closely with...work experience with a financial institution such as a broker / dealer . Minimum 3 years compliance … more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS US Compliance ... businesses, working with regional teams across the globe. This Compliance Officer will also support other aspects...or more years of experience with a registered US broker dealer , swap dealer , Global… more
- Zions Bancorporation (Salt Lake City, UT)
- …the talent; we bring the opportunity. **We are currently seeking a** **Risk and Compliance Testing Officer ** **within the Market, Liquidity, Wealth Risk & ... Team.** **Description** A Market, Liquidity, and Wealth Risk & Compliance (MLW) Testing Officer works closely with...products may include the Company's Capital Markets division, Bank Dealer , Broker / Dealer , Trust Divisions, Municipal… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance assists in ... + 2 years of experience with a registered US broker dealer or regulator. + Problem solving...and ability to work independently. **General Job Posting:** The Compliance Officer supports consumer regulatory compliance… more
- Wilcox Industries (Newington, NH)
- At Wilcox, the role of a Compliance Officer is vital in safeguarding the organization against legal and regulatory risks. This individual will ensure that the ... to all relevant Export laws and internal policies. The Compliance Officer helps to maintain the organization's...is part of the Inside Team consisting of Export Compliance , Customer Support, Dealer Relations, Public Relations,… more
- Scotiabank (Dallas, TX)
- …should involve compliance testing or audit. * Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading ... Testing Program covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, swap dealer , futures… more
- KeyBank (OR)
- **Location:** For Those Who Work At Home, Washington **Job Summary** The Compliance Officer plays a key role in ensuring Key Investment Services LLC meets ... Services LLC** KIS is a retail dual registered fully disclosed introducing broker / dealer and investment adviser that is non-banking affiliate of KeyBank… 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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