- Capital One (Richmond, VA)
- Associate Broker Dealer Risk Specialist **The Associate Risk Specialists supporting Capital One's Commercial Broker Dealers are highly ... risks to the Company using various compliance surveillance tools and methods. The Associate Risk Specialist's primary responsibilities will be to provide support… more
- Coinbase (Jefferson City, MO)
- …a highly-skilled Senior Associate to be a key member of our Broker Dealer Operations team, responsible for the integrity, efficiency, and optimization of ... doing (ie. job duties):* We are building out our Broker Dealer Operations function to support our...to support our equities trading product. As a Senior Associate , you will play a critical role in executing… more
- Robert Half Legal (San Diego, CA)
- …About Firm & Position: A well-established financial services organization is seeking a Associate General Counsel - Broker - Dealer Regulatory Compliance to ... advising key business units on a wide range of broker - dealer and investment advisory compliance issues. The...and investment advisory platforms, focusing on regulatory compliance and risk mitigation. + Respond to and manage FINRA arbitrations… 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 ... New Product, Underwriting, Risk Management, Compliance, IT Risk and Training committees. The Compliance Advisory Associate...years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in… more
- JPMorgan Chase (Columbus, OH)
- …ever-changing market landscape. + Assist financial advisors in constructing strong risk -adjusted portfolios by leveraging the knowledge and analytics of our ... Portfolio Insights team. **Required qualifications, capabilities and skills:** + Bachelor's degree required. + 2+ years' experience + Series 7, Series 63 + Self-starter with a passion for sales and the financial markets. + Proven results shown through… more
- SMBC (New York, NY)
- …role within the Financial Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects of client development, new ... the origination and execution of transactions with Banks and Broker Dealer clients + Work closely across... clients + Knowledge of general elements of credit risk as well as legal/compliance related to Bank and… more
- Coinbase (Columbia, SC)
- …you'll be doing (ie. job duties):* * Lead and manage regulatory compliance and risk management for all broker - dealer activities, ensuring adherence to SEC ... currency and blockchain technology. * Experienced securities attorney with deep broker - dealer expertise to provide legal guidance on compliance, regulatory… more
- JPMorgan Chase (Jersey City, NJ)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker - dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered...Business (LOBs) and Functional groups to gather data, develop risk views, and conduct annual LE Risk … more
- TD Bank (New York, NY)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... and coordinating the Compliance Oversight program over first line Risk Owner (RO) activities contributing to the overall Compliance...or more years of experience with a registered US broker dealer or regulator. + JD desirable… more
- Citizens (New York, NY)
- …aspects within the Bank's full-service wealth management business, which includes RIA, Broker Dealer and Trust (including Delaware trust) offerings and services. ... 10+ years of legal experience with substantial experience in the RIA and Broker - Dealer space. + Thorough familiarity with federal securities laws, including the… more