- BMO Financial Group (New York, NY)
- …experience including SEC 15c3 experience, possessing a strong understanding of broker dealer operations and SEC/ FINRA regulations. If you have dealt with ... Our ideal candidate has a SEC/ FINRA examiner background with broker dealer … more
- Marex (New York, NY)
- …Serve as a subject matter expert ("SME") on products, regulatory reporting, and broker - dealer operations by maintaining proficient knowledge of applicable ... Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance...achieved. + Work with business partners (ie, Surveillance, IT, Operations etc.) to develop and enhance systems, tools, reports,… more
- Huntington National Bank (Columbus, OH)
- …, fixed income operations , or similar broker dealer operations experience Preferred Qualifications: + FINRA Series 52 or ability to obtain within ... municipal underwriting operations , fixed income operations , or similar broker dealer operations experience + High School diploma with 9 years of… more
- BlackRock (Princeton, NJ)
- …maintenance and implementation of the Firm's policies & procedures related to Broker Dealer policies, Training Materials, and Certifications + Various on-going ... this role** **Description** The Regulatory Engagement and Development and Broker - Dealer Compliance team oversees BlackRock's registered personnel's compliance… more
- Huntington National Bank (Columbus, OH)
- Description Summary: The Huntington Securities, Inc. (HSI) Broker Dealer Operations Analyst 3 is responsible for supporting institutional broker ... dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational...Qualifications: + Bachelor's degree + 3-5 years of brokerage operations or FINRA comparable experience + Must… more
- Capital One (Mclean, VA)
- Manager, Broker Dealer Accounting Does the idea of working with professional, highly trained accountants inspire you? Are you an accounting professional with a ... seeking a highly motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority (… more
- Principal Financial Group (Des Moines, IA)
- …financial services industry, with extensive senior-level expertise in broker - dealer and investment advisor compliance, risk management, operations , ... We're seeking an accomplished leader to oversee our Individual Solutions RIA and Broker - Dealer Supervisory Program. This high-impact role reports directly to the… 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
- PNC (Chicago, IL)
- …the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based ... services designed to add value and recommend improvement to the organization's operations . Using cutting edge technology, you would participate in a collaborative… more
- JPMorgan Chase (Columbus, OH)
- …organization with demonstrated financial services experience. + Experience in broker - dealer and investment advisory matters, including knowledge of ... Wealth Management and Products Solutions clients, including Advisors, Sales Management, Operations , Risk, and Controls, as needed. You will work closely with… more