- M&T Bank (Boston, MA)
- …and adaptable + Motivated with a desire to learn and deliver results + Institutional Broker - Dealer Compliance experience + Possess self-confidence and ... **Overview:** Responsible for contributing to and supporting the broker dealer compliance program...management + Design and implement Firm technology guidelines, including institutional broker - dealer requirements, review and… more
- M&T Bank (Baltimore, MD)
- …first line of defense risk management responsibilities of the Investment Bank and Institutional Broker - Dealer in accordance with the Enterprise Risk ... Executive and Leadership team on risk and control topics impacting the Institutional Broker - Dealer , Corporate Securities Underwriting, and Syndications/… more
- SMBC (New York, NY)
- …Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer and or swap dealer . + Strong knowledge in US ... of commercial and investment banking services to its corporate, institutional , and municipal clients. It connects a diverse client...be well organized with project management skills. + Regulatory compliance experience at a broker dealer… more
- Janus Henderson Investors (Denver, CO)
- …and departmental/firmwide projects. 2. Chief Compliance Officer (CCO) of Limited Purpose Broker - Dealer : + Serve as the primary Compliance Officer for the ... Mutual Funds, ETFs, CITs, Private Funds, or SMAs for institutional , intermediary and retail clients. + Ensure all distribution...firm's limited purpose broker - dealer , managing all aspects of the compliance … more
- Charles Schwab (Lone Tree, CO)
- …and compliance functions for Schwab's registered domestic and international broker -dealers and registered retail and institutional investment advisors. The ... 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or… more
- Citizens (Stamford, CT)
- Description Senior Auditor - Capital Markets/ Broker Dealer The Internal Audit team at Citizens is hiring a Senior Auditor on our audit Capital Markets, Market ... Auditor will lead and/or participate on complex audits of the company's broker - dealer , including audits of Equity Research (production and dissemination of… more
- SMBC (New York, NY)
- …as a regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief ... of commercial and investment banking services to its corporate, institutional , and municipal clients. It connects a diverse client...+ Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… more
- Scotiabank (New York, NY)
- … testing or audit. + Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading & sales, investment ... Manager, Compliance Testing **Requisition ID:** 223397 **Salary Range:** 90,000.00...and corporate functions within investment or commercial bank or institutional broker - dealer is preferred. +… more
- Arena Investors LP (Jacksonville, FL)
- …at a SEC-registered investment adviser (primarily private credit exposure); . Experience with broker - dealer compliance (ideally Series 7 or Series 14 ... Arena Investors, LP ("Arena") is a global institutional asset manager that provides creative solutions for...and procedures; . Administration of firm (Investment Adviser and Broker - Dealer ) annual compliance review (testing… more
- Capital One (Mclean, VA)
- …At least 3 years of experience testing or monitoring in a compliance department for an institutional broker dealer or a swap dealer , or at least 3 ... experience as a compliance advisor in a compliance department for an institutional broker dealer or swap dealer + 4+ years of experience with… more