- Siebert Williams Shank (New York, NY)
- …other regulatory licenses desired * At least 7 years working for a broker - dealer , with at least 5 years of compliance experience * Experience with fixed ... & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker / dealer ) is seeking to add a knowledgeable,... professional to the team led by the Chief Compliance Officer . The selected candidates will be… more
- Tradeweb (New York, NY)
- …will maintain and establish standards and implement procedures to ensure that the broker - dealer compliance program remains effective and efficient in ... identifying, preventing, detecting and remediating regulatory issues. + Oversee the broker - dealer compliance program functions including implementation of… more
- Capital One (New York, NY)
- … Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer . This role will support three institutional ... Senior Manager will work independently from the CBD Chief Compliance Officer to interact with and advise... Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of… 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 ... Compliance Officer as either a member or observer of various...and Skills** + 7-10+ years of regulatory and/or advisory compliance experience at a broker dealer… more
- NatWest Markets (Stamford, CT)
- Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer Stamford,United States Permanent Full Time \#R-00244248 Share: ... (https://jobs.natwestgroup.com/jobs/15076523-senior-monitoring-and-testing- compliance -assurance- officer -swap- dealer /apply?tm\_src=0) Our people work differently depending on… more
- City National Bank (Los Angeles, CA)
- …day to day contact for the business regarding all broker - dealer related compliance matters. The Compliance Officer will report to a supervisor with ... be employed by City National Bank. *The Opportunity* The Compliance Officer will work closely with the...with the members of a team focusing on regulatory broker - dealer compliance issues with respect… 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 ... Compliance Officer as either a member or observer of various...+ Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… 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 ... Compliance Officer as either a member or observer of various...+ Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US… more
- Truist (Atlanta, GA)
- …with the Enterprise Compliance Management Policy and Framework for the Institutional Broker Dealer . **LOCATION:** **We are currently in the office 3 days, ... to time. 1. Interpret new or existing laws, rules and regulations for an Institutional Broker Dealer that are complex and multifaceted and use that knowledge as… more
- First Horizon Bank (Memphis, TN)
- …+ Bachelors Degree in Accounting, Finance or Business + Minimum 5 yrs. experience in broker - dealer Compliance or equivalent in legal, compliance or audit ... **Description** FHN Financial is seeking an experienced, licensed Compliance Officer to provide primary ...a broker - dealer and a bank dealer and offer general support to the compliance… more