- MetLife (Bridgewater, NJ)
- …a culture of compliance . CRM is part of Global Risk Management (GRM). The Broker Dealer Compliance Officer will be responsible for supporting the ... broker - dealer compliance program for MetLife Investors Distribution Company (MLIDC), a US registered broker - dealer . The role will also coordinate with… more
- Capital One (Mclean, VA)
- Center 2 (19050), United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor Senior ... Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three institutional FINRA registered broker … more
- Capital One (New York, NY)
- NYC 299 Park Avenue (22957), United States of America, New York, New York Commercial Broker Dealer Chief Compliance Officer - Sr. Director The Sr. Director ... will be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional FINRA registered broker -dealers and provide … more
- City National Bank (Los Angeles, CA)
- …+ Bachelor's Degree or equivalent + Minimum of 5 years of experience in Brokerage Operations, Broker Dealer Compliance , and Client Support for Broker ... **SR. COMPLIANCE ANALYST - BROKER DEALER INVESTMENT ADVISORY** **WHAT IS THE OPPORTUNITY?** Colleague is responsible for assisting CNS Branch Manager with… more
- Truist (Richmond, VA)
- …levels of management **Preferred Qualifications:** + Series 7 & 24 registered + Demonstrated Broker Dealer compliance experience + Proven compliance ... and directing compliance risk oversight of assigned business units ( Broker Dealer ) and/or functions. Leads and executes compliance risk management… more
- SMBC (New York, NY)
- …as a regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief ... Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US securities laws, rules and regulations and… more
- JPMorgan Chase (Jersey City, NJ)
- …for our team. The VP role will have a primary focus for coverage of the US Broker - Dealer (s) Compliance program. To be successful in this role, you must be a ... prepare the annual FINRA Compliance and Process Reports for the broker - dealer entities. + Provide guidance and technical expertise that supports the design,… 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 ... with project management skills + 10+ years of regulatory and/or advisory compliance experience at a broker dealer . BA/BS required. Series 7, 24, 79 a plus.… more
- Charles Schwab (Westlake, TX)
- … professional to join the team as a Senior Manager to conduct risk-based compliance testing within our Broker - Dealer and Investment Adviser programs. Though ... years of experience within financial services with a general understanding of broker - dealer , financial holding company, bank, and investment advisory businesses,… more
- Atria Wealth Solutions (San Diego, CA)
- …of experience with FINRA, the SEC regulations and practices. Extensive knowledge of broker dealer financial, compliance and supervisory operations. + 3+ ... institutions, and their clients. Headquartered in New York City, Atria's broker - dealer and investment adviser subsidiaries empower financial institutions and… more
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