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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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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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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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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.
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The US Compliance department carries out Second Line of Defense monitoring of the corporate banking, investment banking and broker–dealer activities across Societe Generale’s US operations, reporting on the compliance risks and issues to local, regional, and head office management.
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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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Maintain strict adherence and compliance to all laws, rules, regulations, and internal controls specific to your role, including but not limited to Bank Secrecy Act, Anti-Money Laundering, USA Patriot Act, OFAC and Fair Lending regulations.
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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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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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The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of new and updated financial industry laws and regulatory requirements (e.g., FINRA, NASDAQ and SEC.
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Compliance with Anti-Money Laundering and Bank Secrecy Act related principles, laws, rules and regulations, as well as Itau's related policies and procedures. - Knowledge of US banking/financial regulations and business acumen, including but not limited to Banking Services, Fiduciary, Asset Management, or Broker Dealer.
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Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator. The ideal candidate will possess and leverage their extensive knowledge in wealth or asset management through prior roles (e.g., compliance, financial advisor, sales, product controller, market risk, legal, or audit) to investigate whether activities and practices comply with policies and regulations and the firm’s compliance control infrastructure.
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Responsibilities: Regulatory Reporting (Primary):Prepare FOCUS and relate reportsPrepare SIPC reportsMonitor compliance with FINRA and SEC regulations, including net capitalBroker-Dealer net capital monitoring and forecastingSpecial projects, including mergers & acquisitions, and process improvement Treasury (Secondary)Bank portal backup, including admin and wire releaseCash forecastingEducation Requirements:Bachelor’s Degree in Accounting or Finance from an accredited university is required.
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In its role as a major Broker Dealer, WFS provides market liquidity in Foreign Exchange Markets on continuous basis for its global customer base in US, EMEA & APAC regions. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions.
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1-2 years in Broker-Dealer compliance experience, capital markets compliance or regulatory experience. Oppenheimer & Co. Inc. ("Oppenheimer") is a leading middle-market investment bank and full service broker-dealer.
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