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Personal responsibility and accountability to ensure FINRA compliance in the Institutional Broker Dealer. Bachelor's degree and ten (10) years' financial services industry experience with significant experience in senior level roles in broker dealer compliance or in lieu of degree a combined minimum of 14 years higher education and/or work experience including 10 years' financial services industry experience with significant experience in senior level roles in broker dealer compliance.
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The ideal candidate will have extensive expertise in banking operations, Broker Dealer and Swap Dealer regulations (including the global impact of relevant U.S. regulations), compliance with regulations, and a deep understanding of front office sales and trading operations.
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LPL Financial is #1 independent broker dealer in US, a fortune 500 company, with assets under custody and advisory assets greater than 1.4 trillion USD. It's a fast-growing fintech firm (NASDAQ: LPLA) with greater than 22,000 advisors and more than 1000 institutional wealth managers leveraging LPL's technology platform and business services.
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Entity Overview: Lloyds Securities Inc. (LSI), a broker-dealer registered with the Securities and Exchange Commission (SEC), and FINRA member firm, is the U.S. securities arm of Lloyds Bank Corporate Markets, plc UK (LBCM plc UK.
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LSI acts as a U.S. chaperoning broker dealer for its foreign affiliate LBCM plc UK under SEC Rule 15a-6. We have been operating in North America for over 100 years, providing a client-focused approach for global businesses with strong links to the UK. Our New York operations provides a gateway between the UK and North America for financial institutions and large corporate clients, offering core banking products such as lending, trade finance and a range of debt capital and financial markets services through our US broker dealer, Lloyds Securities Inc.
$230,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Commit to taking and passing the FINRA SIE exam and Series 99 exam within 3 months of employment and becoming affiliated with our broker-dealer (will required a background check). This role will involve close association with our broker-dealer to ensure strict compliance with financial regulations and standards.
$125,000 a yearFull-timeExpandApply NowActive JobUpdated 17 days ago - UpvoteDownvoteShare Job
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The SMBC compliance Department is responsible for monitoring the handling of sensitive confidential business information by SMBC personnel through the Compliance Control Room. It administers the SMBC Employee Investment Policy, arranges for the registration of broker-dealer personnel, and conducts compliance training.
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Minimum 3-5 years of experience in Treasury, Liquidity Risk Management, or other related experience, with strong understanding of Broker-Dealer business activity and product areas and how they translate into funding, liquidity and capital impacts.
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The Regional Supervision Risk Officer (RSO) reports into PNC Investments, which is a broker-dealer subsidiary of PNC Bank. This role works with Compliance, Central Review Desk and Regional Sales Managers to identify suspicious patterns in sales and business practices.
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Managing Risk - Assessing and effectively managing all of the risks associated with their business objectives and activities to ensure they adhere to and support PNC's Enterprise Risk Management Framework.
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7-10 years experience in business development/sales/account management (creative/social agency, media company, content company are a plus), including exposure to and/or activity in: selling, negotiating, closing deals and developing relationships.
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7+ years of experience negotiating securities lending agreements, repurchase agreements, forward transaction agreements and derivatives documentation for the Treasury group of a bank or associated broker-dealer or on behalf of financial institution clients.
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Prior management, Registered Investment Advisor and Broker Dealer experience required. Lead back and middle office operations including implementing policies, procedures, controls; overseeing day-to-day operations; and ensuring systems/processes are meeting the business needs of the Financial Advisors.
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The ideal candidate will also have experience in the following areas:White-Collar Defense: Conducting investigations and defending organizations against allegations of misconduct or fraud, primarily in the spheres of accounting, securities, healthcare, broker-dealer and investment-adviser enforcement, and public corruption.
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Works collaboratively with the Business Development Associate and Associate Vice Presidents to identify and target net new customers and grow existing books of business. Provides guidance, training, and support to the Business Development Associate (BDA), fostering a cohesive approach to maximize sales strategies and growth initiatives.
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broker dealer business development jobs Title: vice president
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