- UpvoteDownvoteShare Job
- Suggest Revision
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.
ExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
The Supervisor of Support and Asset Management role demands a seasoned professional with a deep understanding of collections, repossessions, titles, financial transactions, charge-offs, expulsions, cancellable products, and State and Federal regulations on all notices and, involves a combination of leadership, legal compliance, and strategic oversight to efficiently manage repossession, asset liquidation, and related processes while ensuring customer satisfaction and legal adherence.
ExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
About the team + role Robinhood Financial (“RHF”) is Robinhood’s retail broker/dealer, and is looking for a Communication Compliance Specialist within RHF Compliance. Under minimal supervision, the Communications Compliance Specialist will support the team in guiding internal customers (Marketing, Communications, Content, Public Relations and Product) teams on the compliance for projects and customer facing communications to ensure we meet our requirements under Firm policy, SEC rules, FINRA regulations and other regulatory agencies.
ExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
Supervise employees working on investment-related product offerings and ensure compliance across regulated entities (e.g. RIA, Broker-Dealer, Loan Brokering, Loan Servicing) Extensive experience with FINRA and SEC regulations from an RIA (Registered Investment Advisor) or BD (Broker-Dealer.
ExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
The ideal candidate will have regulatory and compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or a similar organization.
ExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
This role will serve as the Deputy Commercial Broker Dealer Compliance Officer supporting three institutional FINRA registered broker dealers and additionally providing a compliance support role for the Capital Markets line of business, a division within the Commercial Bank of Capital One, as necessary.
Full-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
Works with DJO employees, outside referral partners, and Dealer network in order to gain access in competitive accounts and grow organic business. Compliance Demonstrates commitment to the DJO Compliance & Ethics Program, the DJO Code of Conduct, the DJO Sales and Marketing Code of Conduct, the AdvaMed Code of Ethics, and all supporting and applicable regulations, policies and procedures.
Full-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
Center 2 (19050), United States of America, McLean, VirginiaCommercial Broker Dealer Compliance Advisor - Senior Manager. 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.
Full-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
Ensure corporate identity compliance of all Arctic Cat dealerships in assigned territory and represent the company at official events and dealer openings. Develop and implement dealer business plans through action planning and operational consulting while meeting Arctic Cat standards and operational targets.
Full-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
Robinhood Financial ("RHF") is Robinhood's retail broker/dealer, and is looking for a Communication Compliance Specialist within RHF Compliance. The Communications Compliance Specialist will be responsible for reviewing and approving retail brokerage communications to ensure compliance with regulatory requirements and internal guidelines.
ExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
1-3 years of experience in asset management or broker-dealer risk function (includes compliance, financial crimes, operational risk, audit, credit risk, market risk, business process management) or 3+ years of financial services industry experience.
ExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
Broker-Dealer/Registered Investment Advisor and/or Asset Management experience highly preferred. Work closely with internal clients including Compliance, Legal, Operations, Finance, Security and Technology teams at all levels in developing documentation of key processes and controls and recommendations regarding business process optimization, internal control, and compliance.
Full-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
Full understanding of PCNA warranty compliance, goodwill, and systems. Advise Dealer personnel on Porsche Cars North America parts distribution policies, and procedures for the PDC network.
ExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
The Futures and Derivatives Group works closely with lawyers in our Blockchain & Cryptocurrency, Bank Regulation and Enforcement, Broker-Dealer Compliance and Regulation, Investment Management, Securities Enforcement, and Securities Litigation Groups.
Full-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
The department also holds compliance responsibility for an affiliated broker/dealer (Momentum Independent Network, Inc. Bachelor’s degree, or equivalent of two years broker-dealer or investment advisor industry experience.
Full-timeExpandApply NowActive JobUpdated Today
dealer compliance jobs
FEATURED BLOG POSTS
How do Good Interviewers Prepare for Interviews?
Just like candidates take the time to research you and your company, you should take the time to prepare for the interview. Preparing for the interview doesn't just reflect well on your employer brand and create a better candidate experience. Preparation also helps prevent bad hiring decisions. Bad hiring decisions are usually a result of poor execution during the hiring process. However, going into an interview fully prepared and ready to evaluate candidates will help avoid bad hires. So, here are 6 interview preparation tips for employers.
How to Get a Union Job? A Step-by-Step Guide
A union job can significantly impact your job security, pay, and employment benefits. Whether this is your first job or you have years of experience, a union job can offer much-needed protection in a labor market where employees are hired and fired at will.
How to Write a Statement of Interest the Best Way
Your life's goal is to work for Company A. Their brand, their product, their reputation—it's safe to say you're a fan. The only problem is that their careers page never highlights the role that matches your skills and experience. It's a bummer for sure, but don't fret.
Should I Hire for Potential Over Experience?
The workforce is shifting every day. In fact, research from the World Economic Forum (WEF) shows over half of employees around the world will need to upskill or reskill by 2025. The rapid rise of digital literacy, automation, and new technologies will quickly supersede businesses that don't train ahead of the curve. With the dire need to invest in training, it's evident that hiring someone with experience isn't that much different than hiring someone without it.
How to Decide Between Two Job Offers: 10 Practical Tips
It’s arguably a good predicament to have. You’ve applied to many jobs, interviewed multiple times, and now find yourself with two legit job offers. Nice! But although this is a feel-good validation of everything you have to offer, a daunting choice lies ahead. How do you decide which job will be the best fit for you?
Why Work in Sales? 9 Reasons & Tips on Answering as an Interview Question!
Working in sales can be demanding and challenging, but it can also be gratifying. Sales is an excellent career with a clear path full of excitement and potential for growth. So, if you're contemplating careers and have wondered "why work in sales?", keep reading to determine if sales is a suitable role for you.
How to Fire an Employee
So… you've finally decided to let one of your employees go. Drafting the paperwork and corresponding with HR is the easy part, but knowing how to fire an employee is where things get complicated. In fact, it is one of the most challenging conversations to have in the workplace. However, it must be done, and it must be done with poise and tact. Not only should you keep your state law in mind, but you should also consider your former employee's wellbeing.