- M&T Bank (Boston, MA)
- …to senior management on compliance matters. **Supervisory/Managerial Responsibilities:** Broker Dealer Compliance team. **Education and Experience ... financial services industry experience with significant experience in senior level roles in broker dealer compliance or in lieu of degree a combined minimum… 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)
- …Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support ... Advisor Senior Manager will work independently from the CBD Chief Compliance Officer to interact with and... Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of… more
- T. Rowe Price (Owings Mills, MD)
- …related to Brokerage. + Provides support to the Director, North America Compliance , Broker Dealer and Chief Compliance Officer of TRPIS, as ... subject matter expert ("SME") for the Director, North America Compliance , Broker Dealer in monitoring...contacts + Ability to draft complex documents for the Chief Compliance Officer's review + Demonstrates willingness… more
- SMBC (New York, NY)
- …and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief Compliance Officer as either ... **Qualifications and Skills** + 7-10+ years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in US securities… more
- SMBC (New York, NY)
- …and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance Officer as either ... Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US securities laws, rules and regulations and… more
- SMBC (New York, NY)
- …and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance Officer as either ... and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed income futures activities. + Strong knowledge… more
- Cleveland Research Company (Cleveland, OH)
- … Officer in identifying and mitigating potential conflicts and risks associated with a Broker Dealer firm. Our Compliance Department develops and maintains ... Compliance Associate Cleveland Research Company is an independent...Cleveland Research Company, LLC, an equity research firm and Broker Dealer registered in Cleveland, Ohio, is… more
- JPMorgan Chase (New York, NY)
- …basis to line of business and control partners. **Job Responsibilities** + Lead compliance contact to the Outsourced Chief Investment Office (OCIO) team ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...marketed through a bank, registered investment adviser (RIA), or broker - dealer , and related SEC, OCC and FINRA… more
- Citizens (Tarrytown, NY)
- …management Supervision. Experience in developing Private Wealth risk and compliance programs for dual-registered Broker - Dealer /Registered Investment ... or Compliance + 6+ years' Risk and Compliance experience with advanced Broker - Dealer ,...management products and services, including direct support to the Chief Fiduciary and Investment Officer of the firm. +… more