- Siebert Williams Shank (New York, NY)
- …Williams Shank & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker / dealer ) is seeking to add a motivated compliance professional to assist the ... SIE, Series 7 licenses required + At least 3 years of compliance experience ( broker - dealer preferred) + Experience with fixed income products (notably… more
- NatWest Markets (Stamford, CT)
- …out in the United States. **Job description** **Swap Dealer Testing Associate ** **2LOD** This roleis responsible forassessing compliance risks and controls ... Swap Dealer Testing Associate Stamford,United States Permanent...swap- dealer business. + Good knowledge of swap dealer regulations, and securities products and compliance … more
- Capital One (Mclean, VA)
- Compliance Tester III, Principal Associate Capital One...in a compliance department for an institutional broker dealer or a swap dealer , ... and a great place to work. Job Description: The Compliance Tester III (Principal Associate ) performs a...in a compliance department for an institutional broker dealer or swap dealer … more
- Truist (Charlotte, NC)
- …requirements and the SEC RIA Marketing Rule 10. Fully support the separate Broker Dealer , RIA and Insurance Agency corporate secretarial functions, including ... responsible for providing legal and regulatory advice to retail broker - dealer and investment adviser affiliates related to...agency. 2. Provide counsel to the line of business, compliance and regulatory reporting functions in the drafting of… 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...Cleveland Research Company, LLC, an equity research firm and Broker Dealer registered in Cleveland, Ohio, is… 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
- Foresters Financial Services (Beaverton, OR)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Sales Support Associate Sales Beaverton, Oregon Apply Description What we...Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more
- TIAA (Chicago, IL)
- …or reputational risks to the firm. ECC works closely with other departments, such as Broker Dealer Compliance , International Compliance , and Legal, and ... Serve as a member of the Enterprise Communications Compliance ("ECC") team that provides advice and guidance...of marketing materials. In addition, the role will provide Compliance thought leadership and solutions on approach to new… more
- Kestra Financial (Raleigh, NC)
- …record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, including but not limited… more
- Insight Global (Tampa, FL)
- Job Description A large broker - dealer and registered investment advisor firm local to the Tampa area is looking for 2 Compliance Associates to sit within the ... . Skills and Requirements -3 years of experience within compliance in a financial environment -Series 7 & 24 registrations… more