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Prior experience as a dedicated AML officer with a US broker dealer and/or served as AML/BSA/OFAC Officer. As an Anti-Money Laundering Compliance Officer, you will be responsible for overseeing and managing the Firm’s AML, BSA, and OFAC compliance programs.
$127,000 - $175,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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Support compliance’s review and approval of advisor/broker dealer and international marketing materials and various other electronic communications to ensure compliance with firm and regulatory requirements.
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Exciting opportunity for a Compliance Officer to join a strong broker-dealer headquartered here in Miami. Conduct audits and testing of broker/dealer branch offices for their compliance of written policies and procedures.
Full-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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We are a seeking a Senior Compliance Officer experienced in broker dealer compliance functions that support the Operations, Finance, and Information Technology departments.
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The AML Officer is responsible for compliance with all US related Anti-Money Laundering and Know Your Customer (AML-KYC) regulations and requirements and for implementation and administration of AML compliance program including internal controls, policies, procedures, training and testing the effectiveness of the program using industry standards and regulatory guidance.
Full-timeExpandApply NowActive JobUpdated 9 days ago - UpvoteDownvoteShare Job
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Minimum five years of experience working within the securities industry preferably within an RIA or Broker Dealer serving retail clientele. You will also support the Chief Compliance Officer in the operations and maintenance of the firm's regulatory compliance program.
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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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TheDirector, Cboe Digital Compliancewill be tasked with, in coordination with the Cboe Global Markets, Inc. ("CGM") Chief Compliance Officer ("CCO"), developing, implementing, and managing a comprehensive compliance program of CGM's digital asset business.
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Creand Wealth Management is looking for an experienced Compliance & Onboarding Officer for our Brickell office, to be responsible for assisting the Firm in executing the compliance program for the Broker-Dealer and Investment Advisory, as well as supporting the overall Compliance Department.
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Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
Full-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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Oversee compliance testing plan and maintain operating licenses of the broker-dealer and its lending affiliates. Foster strong relationships within the broker-dealer and its affiliates, coordinating with relevant functional groups on due diligence and vendor Management items.
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You will be responsible for helping monitor the firm’s compliance program for our registered investment advisers and broker-dealer and performing regular duties attendant to the compliance programs of our regulated entities.
$90,000 - $130,000 a yearFull-timeExpandApply NowActive JobUpdated 10 days ago - UpvoteDownvoteShare Job
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A masters degree from an accredited college or university with major studies in business, economics, finance, or a related field and three (3) or more years of progressively responsible experience in a financial services compliance role and/or carrying out compliance functions for a large and/or complex SEC registered investment advisor, broker/dealer, consulting firm, or in a related area; or.
ExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
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Introduce non-deposit investment and insurance products maintaining compliance standards set forth by the NASD, SEC and current broker dealer’s compliance officer. Keep up to date and knowledgeable of current investment products offered through our broker/dealer.
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Three to five years of relevant broker-dealer and/or investment banking compliance or regulatory experience. Reporting to the Chief Compliance Officer (CCO), this hybrid position is in-office three days per week after six months of in-office training, holidays excluded, and working remotely two days a week.
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