- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Onboarding Analyst will facilitate the onboarding process for opening new ... client static data in order to improve efficiencies and Compliance reporting. + Ensuring compliance with the...improve efficiencies and Compliance reporting. + Ensuring compliance with the company's regulatory requirements under the SEC,… more
- City National Bank (Jersey City, NJ)
- …Bank. *The Opportunity* The Compliance Analyst will review a variety of broker / dealer employee compliance requests to ensure that they are in ... investigations and reporting. * Report to a supervisor with the Wealth Management Broker / Dealer Compliance division *The Qualifications* * Minimum 4 years … more
- Guardian Life (Annapolis, MD)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... collaborative Compliance Legal Team? As a Senior Compliance Analyst , Park Avenue Securities, and Park...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
- Citigroup (Tampa, FL)
- …day-to-day processes of intake/assignment/close out of investment complaints for a retail broker dealer /RIA and insurance agency business; coordination of the ... of intake/close out of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This position requires a working… more
- Robert Half Finance & Accounting (Boston, MA)
- …At least 2-5 years of compliance or risk management experience for a broker - dealer or investment advisor is required, along with a FINRA Series 7, 24, ... Our client is a boutique Wealth Management firm looking to bring onboard a Compliance Analyst . The role is in Boston, mostly in office. This role focuses on… more
- Raymond James Financial, Inc. (Seattle, WA)
- …_About Raymond James:_ _RJA is an investment adviser and full-service broker - dealer dually registered with the Securities and Exchange_ _Commission. ... Inc." and "Alex. Brown, a Division of Raymond James."_ _RJA serves as a clearing broker - dealer and custodian for many of our affiliated broker - dealer /… more
- TD Bank (Greenville, SC)
- …Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Central ... of Business:** TD Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal...Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- TD Bank (Marlton, NJ)
- …Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Principal ... of Business:** TD Wealth **Job Description:** The Principal Review Analyst is a FINRA and SEC regulatory supervisory principal...Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- OTC Markets Group Inc (Washington, DC)
- …SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker - dealer , member SIPC. Applicants have rights under the federal law: Equal ... OTC Markets Group Inc Business Analyst OTC Markets Group - Washington, DC -...the internal interface projects supporting Corporate Services and Issuer Compliance teams. The BA's role will live in both… more
- Siebert Williams Shank (Chicago, IL)
- …platform, and a sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA) ... is conducting a search for an experienced Investment Banking Analyst to join its Infrastructure and Public team and...national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and… more
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