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This position is primarily responsible for working with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC’s program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent expert advice in this area.
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Previous experience in the broker-dealer/ fin-tech industry is a plus. Familiar with AWS cloud database, RDS, MongoDB, Elasticsearch, etc. Familiar with the installation, maintenance, optimization, and stress testing of non-SQL databases such as Redis, MongoDB.
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Knowledge of various types of securities and broker-dealer services and methods of marketing required. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
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Obtain and maintain appropriate registrations to provide oversight on broker/dealer operations and develop advisor training. Active FINRA Series 24, or 9/10 or ability to obtain in 90 daysActive State Securities Agent Registration (S63 or S66) or ability to obtain within 150 daysActive State IAR registration (S65 or S66) or ability to obtain within 150 daysActive Life and Accident/Health insurance license or ability to obtain within 150 daysProven success driving business growth.
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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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Build relationships with the broker/dealer community to obtain valuable bids and offers from them, facilitate improved new issue allocations, market intelligence and act as a point of contact for the platform.
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Prior Tax Operations related work experience or understanding of broker/dealer tax obligations. Understanding of FATCA and NRA withholding and reporting requirements. The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments, and individuals.
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5 or more years of experience in financial services, preferably in investment-related roles, with a focus on RIA and Broker Dealer business. 5 or more years of experience in financial services, preferably in investment-related roles, with a focus on RIA and Broker Dealer business.
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As the nation's leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. Series 7, 63 - ideally Series 24 or Series 9/10.
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Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment.
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Exciting opportunity for a Compliance Officer to join a strong broker-dealer headquartered here in Miami. Exciting opportunity for a Compliance Officer to join a strong broker-dealer headquartered here in Miami.
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2023 First Command Financial Services, Inc. parent of First Command Brokerage Services, Inc (Member SIPC, FINRA), First Command Advisory Services, Inc., First Command Insurance Services, Inc. and First Command Bank. Securities products and brokerage services are provided by First Command Brokerage Services, Inc., a broker-dealer.
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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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Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC.
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5 – 7+ years of financial planning experience with a broker-dealer, RIA, investment firm, law firm, or accounting firm. Juris Doctorate (JD), Master of Laws ( in taxation), CFP, or CPA highly desirable.
$90,300 - $164,700ExpandApply NowActive JobUpdated 4 days ago
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