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This role requires a deep understanding of broker-dealer compliance regulations, excellent leadership skills, and the ability to effectively train and guide team members. New Business Review Supervision: Oversee the review process for new variable annuity, direct mutual fund, and all other Broker-Dealer business, ensuring they meet all compliance and regulatory standards before implementation.
$90,000 - $105,000Full-timeExpandApply NowActive JobUpdated 10 days ago - UpvoteDownvoteShare Job
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This individual will also help support the Firm's Registered Investment Adviser and Broker-Dealer Compliance Programs. 1-3 years of compliance/AML experience at an investment adviser, broker-dealer, or crypto focused firm.
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Detailed knowledge of relevant regulatory requirements, including comprehensive understanding of required under the Investment Advisers Act of 1940 and FINRA broker dealer Compliance.
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Escalation point for Broker Dealer, Investment Bank, Sales, Research and Trading and Mergers & Acquisitions onboarding questions. Manage electronic (Markit counterparty platform) and paper onboarding process to ensure regulatory compliance; Facilitate ISDA Protocol Adherence Letters and Questionnaires.
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Minimum years of business and functional experience: 10+ years of financial services industry experience, preferably with broker/dealer and/or related government entity, as well as 5+ Years working in anti-money laundering, compliance, audit, risk and/ or a process/controls focused position.
ExpandApply NowActive JobUpdated 7 days ago - UpvoteDownvoteShare Job
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Collaborate with Risk, KYC, Compliance and AML to ensure all processes and procedures are updated on a regular basis. Manage customer onboarding and KYC for Capital One Financial Broker Dealers.
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Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator. Financial instruments product knowledge, accounting experience or Consumer Compliance experience (a Financial Engineering qualification, CFA, PRMIA/FRM qualifications or CPA, CRCM.
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Entry-level experience in AML Compliance working in a financial institution (either bank or broker-dealer) a plus. Oppenheimer & Co. Inc. (Oppenheimer) is a leading middle-market investment bank and full service broker-dealer.
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Member FINRA/SIPC. CFS is a broker/dealer and Registered Investment Advisor with a stable track record of serving the investment needs of credit unions and their members. CFS (Member FINRA/SIPC) is a broker-dealer and Registered Investment Advisor with a stable track record of serving the investment needs of credit unions and their members.
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Supervise employees working on investment-related product offerings and ensure compliance across regulated entities (e.g. RIA, Broker-Dealer, Loan Brokering, Loan Servicing) Extensive experience with FINRA and SEC regulations from an RIA (Registered Investment Advisor) or BD (Broker-Dealer.
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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.
$90,000 - $150,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Knowledge of compliance related matters within the Retail Broker Dealer and Registered Investment Advisor and Insurance Agency. Thorough understanding of the rules, regulations, and legal requirements of the SEC, FINRA and general state securities and insurance regulatory requirements pertaining to marketing and advertising in a retail broker/dealer environment.
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We are a broker-dealer and RIA providing support to financial advisors in all areas of their business: compliance, technology, marketing, operations, practice management, and more.
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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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U00A0We are looking for a Director of Regulatory Reporting, a leadership position within the team that is responsible for ensuring the overall integrity of trade and position reporting submitted to the regulators for the Fidelity Broker-Dealers, National Financial and Fidelity Brokerage Services, as well as for correspondent client broker-dealer firms.
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