- 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
- 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
- SMBC (New York, NY)
- …in preparing high quality materials for Risk Committees (Tier 1 and 2), Swap Dealer and Broker Dealer oversight forums - Help review policies, procedures ... portfolio of benefits to its employees. **Role Description** The Associate (ASC) in the Americas Market Risk ...in risk management, counterparty risk , risk governance, broker - dealer risk… more
- JPMorgan Chase (Columbus, OH)
- …challenging the status quo and striving to be best-in-class. Job Summary As a Compliance Risk Management Senior Officer - Associate in Risk Management and ... Bring your Expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center...Responsibilities + Perform on-site and remote compliance examinations of broker - dealer and investment advisory businesses to ensure… 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
- T. Rowe Price (Owings Mills, MD)
- …an expert level of knowledge of the FINRA, SEC, MSRB and state broker dealer regulatory requirements and landscape, strong analytical skills with attention ... to you . About this Position Reporting to the Broker / Dealer Chief Compliance Officer, the role is...experience, rule interpretation skills, and sound judgement from a risk perspective. Ensures compliance policies and procedures adhere to… 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …the department for years to come. Understanding of the regulatory agencies that oversee Broker - Dealer and RIA firms will be essential in understanding how the ... to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …processes that support the service advisors for our independent advisors and broker - dealer relationships. This role offers exposure to the day-to-day functions ... to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships,… more
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