- Trandon Associates, Inc (New York, NY)
- Job Description Job Description Full Service Broker Dealer and Investment Banking from seeking a Deputy Chief Compliance Officer to join their team! OVERVIEW: ... Compliance Officer in overseeing the firm’s Compliance Program, supervising day-to-day compliance operations , and ensuring adherence to SEC, FINRA , MSRB, and… more
- New York Life Insurance (Charlotte, NC)
- …income insurance, and investment products such as mutual funds1 through our broker - dealer , NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed ... 1. Offered by properly licensed registered representatives through NYLIFE Securities (member FINRA /SIPC), a Licensed Insurance Agency and a New York Life subsidiary.… more
- Capital One (New York, NY)
- …trading environment. **Responsibilities** **Program Oversight & Governance** + Lead daily surveillance operations for both Broker - Dealer and Swap Dealer ... (SD) businesses. This individual will oversee day-to-day surveillance operations , maintain robust controls around the monitoring of trading...within a Broker - Dealer or Swap Dealer environment. + Relevant certifications ( FINRA Series… more
- Equitable (Charlotte, NC)
- …team. This role is critical in ensuring the effective oversight of outsourced broker - dealer operations , maintaining compliance with regulatory standards, and ... candidate will have a strong background in financial services, particularly within broker - dealer operations , and possess advanced analytical capabilities.… more
- Robert Half Management Resources (Dallas, TX)
- …years of experience in internal audit, compliance, or broker - dealer operations . * Extensive knowledge of FINRA and SEC regulations, with hands-on ... and effective risk management. The successful candidate will bring extensive knowledge of broker - dealer operations and regulations, along with the ability to… more
- SMBC (New York, NY)
- …time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory ... of the CEO (CEOAD), Tokyo Home Office, Finance & Operations , Risk, HR, Internal Audit, and Technology. The Regulatory...project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer… more
- Coinbase (Madison, WI)
- …business. This role will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to ... * Coordinate closely with cross functional partners in Legal, Operations , Risk, Tax, Finance and Audit to ensure a...requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in… more
- SMBC (New York, NY)
- … dealer . + A solid foundation in US securities laws and regulations and broker dealer operations , products and services. + Ability to communicate this ... and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented...and applicability to SMBC Nikko Securities Inc. and affiliate operations . + Ability to manage multiple assignments and build… more
- Guardian Life (New York, NY)
- The Broker Dealer Operations Specialist plays a central role in delivering world‑class customer and transaction servicing for alternative investment ... products. The role supports end‑to‑end operations from onboarding through transactions, reconciliation, and servicing requests. **You are** + A consummate… more
- Insight Global (New York, NY)
- …$68/hr, this role serves as a senior regulatory and risk partner to Broker ‑ Dealer Compliance leadership and the businesses they support, translating regulatory ... and engage the appropriate resources, partnering closely with Legal and Compliance Operations to support responsible business growth. We are a company committed to… more
