Compliance Associate - Broker Dealer
Compliance Associate Ideal candidate has Broker Dealer experience in Surveillance Marketing & Regulatory affairs.Perform... SEC, FINRA, and the NYSE. RequirementsRegistered Broker Dealer Experience a Must Series 7 & 24 At least 5-8 years of experienceSuperp...
Compliance Examiner / Manager (Broker Dealer) - Marsh & McLennan Companies Corporate - New York, NY
Compliance Examiner / Manager (Broker Dealer) - Marsh & McLennan Companies Corporate - New York, NY Marsh & McLennan Companies... exchanges. As a Compliance Examiner / Manager in the Broker Dealer department of Marsh & McLennan Companies Corporate...
Senior Compliance Manager (Broker Dealer) - Marsh & McLennan Companies Corporate - Hoboken, NJ
Senior Compliance Manager (Broker Dealer) - Marsh & McLennan Companies Corporate - Hoboken, NJ Marsh & McLennan Companies is a global... our Broker Dealer (MMC Securites Corp.) department of Marsh & McLennan Companies Corporate, you will be responsible for continuously...
US Bank - Saint Louis, MO
Responsible for conducting on site examinations of USBancorp broker/dealer locations/branches. Travel is required 25% of the time. Ensures... assigned locations, business units, or proposed products and processes are in compliance with various FINRA and MSRB laws and regulations. Develops...
Sr Counsel Wealth Management & Broker~Dealer
and W; Advise CCOISC's compliance department regarding regulatory issues and supervision; Negotiate and document all broker~dealer selling agreements... and Broker~Dealer areas; Provide advice relating to the broker~dealer, CCO Investment Services Corp. (CCOISC) and Premier Banking, Private Bank...
Individual will be responsible for providing compliance support for various broker-dealer related activities, reporting to the Senior... for the broker-dealer (includes assisting manager with branch inspections and review of business areas and books and records to ensure they are in...
Broker - Dealer Compliance, Director Level
Our client, a top-tier investment management firm seeks a Compliance Director for their limited purpose Broker-Dealer Business. This role... is responsible for managing the compliance program for the broker-dealer and reports to the Chief Compliance Officer. The candidate will responsible...
Branch Administrative and Compliance Manager
Compliance Search Group - Philadelphia, PA
Qualifications:• Bachelors degree• 7+ years broker/dealer and/or branch brokerage sales experience with an expertise in compliance...Branch Administrative and Compliance Manager The high-net-worth brokerage division of a major investment bank seeks a Branch Administrative...
Branch Administrative and Compliance Manager
Compliance Search Group - Washington DC
Qualifications:• Bachelors degree• 7+ years broker/dealer and/or branch brokerage sales experience with an expertise in compliance...Branch Administrative and Compliance Manager The high-net-worth brokerage division of a major investment bank seeks a Branch Administrative...
Compliance Manager / Officer I Job
Ameriprise - Boston, MA
and SEC requirements.Principal responsibilities may include:- Review and approve broker/dealer and investment adviser communications and marketing... adviser and broker/dealer materials.- Understanding of asset management business and some products, including mutual funds, hedge funds, closed...
Marketing Material Review Compliance Officer
that the oversight of the Broker Dealer meets or, wherever possible, exceeds industry standards • Assist in maintaining Canadian compliance program... of the firm’s limited purpose broker-dealer. The broker-dealer distributes US mutual funds and private placement funds. Responsibilities Include...
Senior Compliance Officer - Distribution
, correspondence, , anti-money laundering and the compliance program of the firm’s limited purpose broker-dealer. The broker-dealer distributes US mutual... funds and private placement funds. The broker-dealer has also applied to be registered in Canada as an Exempt Market Dealer to distribute...
Fidelity - Cary, NC
associated with broker-dealer and investment adviser activity.- Participate in weekly Area conference calls and Area meetings to discuss state...Senior Compliance Advisor - 1201700DescriptionPosition DescriptionThe Senior Compliance Advisor (SCA) will have responsibility...
Field Suitability Compliance Officer - Personalized Brokerage Services (PBS)
Allianz Life Insurance - Topeka, KS
/broker-dealer Active FINRA Series 6 or 7 required FINRA Series 26 or 24 required or be able to obtain within 180 days of start date Clean FINRA... for you. Field Suitability Compliance Officer - Personalized Brokerage Services (PBS) - Topeka, KS Job Purpose/Role The Field Suitability Compliance...
Capital One - Melville, NY
/Broker-Dealer programs preferred- FINRA licenses 6-7, 63, 65, 24Job: Audit, Risk Management and SecurityPrimary Location: United States-New York...Principal Compliance Analyst-713177DescriptionLevel: Principal Compliance AnalystJOB SUMMARY:Capital One is currently recruiting...
Compliance Officer, Broker Dealer- Greenwich to 110K
Robert Half Finance & Accounting - Greenwich, CT
Compliance Officer, Broker Dealer- Greenwich to 110K Fantastic opportunity to join an established, global, Greenwich based broker dealer... a plus, but not required. Additional Information Location: GREENWICH, CT Job ID: 00720-115912 Experience: 5+ years hands on compliance exposure with a broker dealer...
Chief Compliance Officer - ING US Broker-Dealers
ING Financial Services - Windsor, CT
compliance program for all broker-dealer and investment adviser entities supporting the US Retirement, Insurance and Annuity business lines...Job Title Chief Compliance Officer - ING US Broker-Dealers Requisition # 19785BR Business Unit USFS Job Family Compliance Position Location...
Chief Compliance Officer - ING US Broker-Dealers
ING Financial Services - Windsor, CT
compliance program for all broker-dealer and investment adviser entities supporting the US Retirement, Insurance and Annuity business lines... broker-dealer and investment adviser, and member of FINRA and SIPC, and is licensed as an insurance agency offering a comprehensive array...
Senior Compliance Manager (Broker Dealer) - Marsh & McLennan Companies Corporate - Hoboken, NJ
Marsh & McLennan Companies, Inc - Hoboken, NJ
Manager in our Broker Dealer (MMC Securites Corp.) department of Marsh & McLennan Companies Corporate, you will be responsible for continuously... consulting advisory and other broker-dealer and investment adviser business lines. MMC Securities Corp. provides innovative investment banking...
VP Compliance - Derivatives Trading / Broker Dealer
VP Compliance - Derivatives Trading / Broker Dealer Our client, a top international diversified Financial Services firm, is seeking... an experienced VP Compliance with prior compliance experience covering Derivatives Trading and Broker Dealer businesses.Position Responsibilities: ...