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The ideal candidate has a strong financial regulatory background, either from a federal regulatory agency, or as in-house counsel or outside counsel to a broker-dealer and/or investment adviser.
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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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Quick to identify gaps or risk exposures in a dually affiliated broker-dealer and investment advisor and to develop and implement strong checks-and-balances. The Chief Compliance Officer of Park Avenue Securities (PAS) will be responsible for representing the firm to regulatory bodies and other key constituents as well as having responsibility for the overall compliance framework for PAS as a dually registered broker-dealer and investment adviser.
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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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Manage customer onboarding and KYC for Capital One Financial Broker Dealers Manage manual screening processes (Bridger Web) Escalation point for Broker Dealer, Investment Bank, Sales, Research and Trading and Mergers & Acquisitions onboarding questions.
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Member FINRA/SIPC. CFS is a broker/dealer and RIA 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 RIA with a stable track record of serving the investment needs of credit unions and their members.
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Follows the rules and regulations set forth by the credit union, FINRA, SEC and the broker/dealer. Ranked as one of the top broker-dealers in the industry, we work with many of the top financial institutions throughout the country.
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The firm is a broker-dealer registered with the United States Securities and Exchange Commission and a member of the Financial Industry Regulatory Authority. Job Title: Investment Banking Analyst, Healthcare Services and Technology.
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Candidates must have a broad knowledge of U.S. broker-dealer and investment advisory compliance, regulated business environments and key regulatory issues especially as they relate to retail distribution.
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Focus on financial organizations that address SEC, CFTC, FINRA, NFA OCC and other regulatory requirements for retail and institutional broker dealer compliance, capital markets, banking, swap dealer trading, investment management, and investment advisor compliance.
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The department performs, among other responsibilities, AML transaction monitoring and SAR filing, OFAC screening, as well as advisory and control functions across SG US bank and broker dealer businesses.
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Manage broker-dealer related matters working with the sales team & Prudential’s broker-dealer. Develop and effectively administer a compliance monitoring program including, but not limited to, portfolio reviews, anti-money laundering, client documentation, gift and entertainment reporting, FCPA reporting, new account reviews, conflict mitigation, etc.
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1-3 years of asset management, finance, operations, pricing servicer, or broker/dealer valuation experience preferred. Interact with Investment Management addressing valuation inquiries, broker and vendor price challenges.
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Apply Now For Free Vice President, Enterprise Risk (Broker Dealer) Legend Similar Jobs AVP, Claims Manager - Personal Lines. New York City office of a BCG Attorney Search Top Ranked Law Firm seeks a mid- to senior-level financial services litigation associate attorney with 4+ years of experience.
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T3 Trading Group, LLC is an SEC-registered broker-dealer & Member of FINRA/SIPC. T3’s office headquarters is in lower Manhattan in the heart of the financial district. Exemption from the PDT Rule: Operate beyond the restrictions of the Pattern Day Trader rule as a professional proprietary trader.
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