- 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
- Humana (Oklahoma City, OK)
- …and productivity. The ideal candidate has deep expertise in insurance marketing, broker training, and compliance -driven communications. The Director, Broker ... put health first** We are seeking a dynamic and strategic Director of Broker Engagement to lead agent training, communications, and marketing initiatives within the… more
- Capital One (Mclean, VA)
- Senior Associate , Compliance Tester II Capital One is...in a compliance department for an institutional broker dealer , or at least 2 years of ... and a great place to work. Job Description: The Compliance Tester II (Senior Associate ) performs a...in a compliance department for an institutional broker dealer or swap dealer … 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
- KeyBank (Brooklyn, OH)
- …support and administrative groups to identify and mitigate retail broker / dealer , securities, AML, Fraud and insurance related compliance and reputational ... Tiedeman Road - Brooklyn, Ohio 44144-2302 The KIS Surveillance Compliance Associate reports directly to the KIS...understanding of various regulatory requirements related to the retail broker dealer industry, as well as retail… 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
- Edward Jones (St. Louis, MO)
- …skills. **What You Will Do:** + Provide legal advice and guidance to legal, compliance , and business colleagues involving broker - dealer rules and regulations ... matter expert on legal regulatory issues, including broker - dealer regulation, with a focus on compliance ...broker - dealer regulation, with a focus on compliance with securities laws, rules, and regulations, including … more
- TIAA (Dallas, TX)
- …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
- CIBC (Madison, IL)
- …3 to 5 years of experience in a compliance position at a registered RIA, broker dealer or bank. + A strong understanding of the Investment Advisors Act of ... more about CIBC, please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) CIBC's US Compliance Department provides timely, proactive advice and independent second… more
- Foresters Financial Services (Silver Spring, MD)
- …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 Silver Spring , Maryland Apply Description...Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more