- 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
- T. Rowe Price (Owings Mills, MD)
- …a difference in ways that matter to you . About this Position Reporting to the Broker / Dealer Chief Compliance Officer , the role is responsible for ... of knowledge of the FINRA, SEC, MSRB and state broker dealer regulatory requirements and landscape, strong... vision and strategy in conjunction with the Chief Compliance Officer . + Monitor ongoing legal and… more
- HUB International (New York, NY)
- …& Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker - Dealer : The Chief Compliance Officer , will be a highly visible, ... and enhancing the SEC compliance infrastructure. **Job Summary:** The **Chief Compliance Officer ** **for Retirement and Private Wealth** will be responsible… 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
- Robert Half Legal (Dallas, TX)
- …across the organization. * Support stakeholders by drafting, reviewing, and revising broker - dealer compliance policies and procedures. * Provide expertise ... Description We are looking for a dedicated and detail-oriented Compliance Officer to join our team on...in broker - dealer compliance , leveraging industry knowledge to maintain… 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
- Equitable (Charlotte, NC)
- …SEC and FINRA a compliance programs related to its investment advisory and broker / dealer operations. Reporting to the CCO are the Firm's 3120 audit teams, ... Equitable Advisors Deputy Chief Compliance Officer ( 250000L7 ) **Primary...of the firm's growth strategy. Equitable Advisors is a broker / dealer and registered investment advisor that serves… 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
- Ventura County (Ventura, CA)
- …Analysis - Fundamental knowledge of credit risk assessment, issuer evaluations, and broker / dealer compliance requirements. + Technology and Investment ... investment strategies accordingly. + Negotiation & Relationship Management - Managing broker - dealer relationships to ensure best execution and favorable pricing… more
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