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2+ years' experience in a commercial law and/or business setting, preferably in the broker-dealer and/or regulatory setting. Candidate will also provide significant assistance advising the business, risk, Operations and compliance teams in matters involving litigation risks and regulatory matters, including matters primarily involving Client rules, the Securities Act of 1933 and the Securities Exchange Act of 1934.
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Maintain compliance with all applicable bank, broker/dealer, State and Federal regulations associated with the sale of investment and insurance products including Santander Policy Statement governing the sale of uninsured products.
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Our open-architecture platform for client solutionsOur broker/dealer powered by one of the world’s largest broker/dealers LPL*Our elite benefits and wealth-building programsOur competitive payoutsOur operation and compliance infrastructure support.
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The Global Markets Regulatory Compliance (GMRC) Advisory Vice President is responsible for providing advice on Swap Dealer and Broker Dealer regulations (including the global impact of relevant U.S. regulations) and internal policies and procedures to internal stakeholders, including trading and sales personnel and key support functions.
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Responsible for working within compliance guidelines and policies of the Bank, the third party broker/dealer, and FINRA. Possess U-4 with no customer complaints, settlements, or adverse actions taken by a prior broker/dealer or regulatory authority.
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Penserra Capital is an SEC registered Investment Adviser, also registered as a Commodity Trading Adviser with the CFTC and a member of the NFA, with approximately $11 billion AUM. Penserra Capital Sub-Advises 3rd party Exchange Traded Funds (ETFs), focusing on the implementation aspect of 3rd party investment strategies in 3rd party ETFs. Penserra Capital is part of the Penserra group of companies which includes an affiliated broker dealer and a state registered investment adviser.
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Monitors and ensures legal and regulatory compliance in connection with all investment company, investment adviser and broker-dealer related activity. Stays current on legal rules and legislation, specifically the Investment Company Act of 1940, the Investment Advisers Act of 1940 and other investment company or broker-dealer regulations.
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Nuveen Securities, LLC, is a registered U.S. broker-dealer, which serves as the underwriter and distributor for the Nuveen and TIACREF family of mutual funds. 3 years of applicable experience working in the securities industry, working for an investment adviser or broker-dealer.
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Life Insurance Company of the Southwest is not an authorized insurer in New York and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company.
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Develop, implement, and maintain Forge’s broker-dealer and RIA compliance programs. 10+ years’ compliance experience in a compliance department of a registered broker-dealer.
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Robinhood’s legal team is looking for an attorney with extensive experience in broker-dealer regulatory, compliance, clearing, and operational issues to support Robinhood Securities, LLC (“RHS”), our securities clearing firm.
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Assisting with the design and implementation of CIBC’s US Broker-Dealer compliance program; Assisting the US Broker-Dealer CCO in coordinating U.S. regulatory exams, inquiries by regulators, and audits of Compliance by Internal Audit.
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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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Support firm committees focused on valuation, broker dealer/trade execution and proxy voting. Familiarity with regulatory advertising rules, ERISA, securities valuation and broker-dealer/trade execution is also a plus.
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Identifying process, policy and procedure enhancement opportunities across investment advisory programs and platforms offered through our Investment Advisor/Broker-dealer, MMLIS including Wealth Management Services (WMS), our advisory program with $60B+ in separate account, unified managed account, Rep as PM, and model portfolio programs, as well as third party referral programs.
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