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Center 2 (19050), United States of America, McLean, VirginiaCommercial Broker Dealer Compliance Advisor - Senior ManagerThe Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer.
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The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of new and updated financial industry laws and regulatory requirements (e.g., FINRA, NASDAQ and SEC.
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This role will support three institutional FINRA registered broker dealers and provide compliance support the Capital Markets line of business, a division within the Commercial Bank of Capital One, as necessary.
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Phillip Capital Inc. is dually registered with the SEC/FINRA as a self-clearing broker dealer and the CFTC as a registered Futures Commission Merchant (FCM). The Broker Dealer Accountant will play a critical role in ensuring the financial integrity of the firm's financial operations.
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Understanding of Securities Processing operations and Broker/Dealer Compliance policies and procedures. This is a small but highly motivated team of professionals delivering excellent service with a keen eye towards regulatory compliance.
$85,000 - $144,000 a yearFull-timeExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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CUSO Financial Services, L. P. (CFS) (Member FINRA/SIPC) is a broker-dealer and RIA with a stable, 25-year track record of serving the investment needs of credit unions and their members.
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The ideal candidate will be excited and eager to wear multiple hats, dive into the broker-dealer landscape, and have a variety of tasks and duties related to the distribution we provide our clients.
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Build relationships with the broker/dealer community to obtain valuable bids and offers from them, facilitate improved new issue allocations, market intelligence and act as a point of contact for the platform.
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Previous broker dealer compliance or other financial services responsibilities a plus. Assist CCO with managing the administration of the broker dealer program. Review and maintain broker dealer written supervisory procedures and operational procedures.
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2-5 years experience with a broker-dealer or FCM, an exchange, the SEC, FINRA, CFTC, NFA, or a law firm in compliance, risk, technology, audit, or other related areas. Work with colleagues in Compliance, Legal, Business, Development, and other teams across the firm to ensure compliance with rules and regulatory guidance related to trading and markets, including but not limited to Market Access; Reg NMS; Reg ATS; Rule 606; Exchange Rules; Best Execution; Smart Routing; Algorithmic Trading; Order Routing and Payment for Order Flow Disclosures.
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Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting. The ideal candidate will possess and leverage their extensive knowledge in wealth or asset management through prior roles (e.g., compliance, financial advisor, sales, product controller, market risk, legal, or audit) to investigate whether activities and practices comply with policies and regulations and the firm’s compliance control infrastructure.
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For wealth managers serving entrepreneurial, small business, and family business clients, our dual RIA and broker-dealer structure empowers earning investment banking fees on client M&A liquidity events and then advising upon and managing the investment proceeds.
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The Compliance department acts as Second Line of Defense of the corporate banking, investment banking and broker–dealer activities across Societe Generale’s operations, reporting on the compliance risks and issues to local, regional, and head office management.
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Strong understanding of Broker Dealer Compliance. Sound understanding of broker-dealer operations, encompassing business models, record-keeping, settlement mechanics, and trade processing.
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Assess the broker-dealer compliance program designed to prevent illegal, unethical, or improper business practices. - Perform audits of Broker Dealer and Global Markets activities and its products including trading, sales, risk management, operations and compliance functions to ensure compliance with policies and SEC, FINRA and CFTC regulations.
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